My three lessons from NSCP 2023
Here are my three key lessons from NSCP about AI in personal and professional life, the pace of regulatory change, and the...
AI regulations in the EU and US: a tale of two views
The EU and US have different approaches to regulating AI. However, they are working together to develop international AI standards...
What does the SEC’s proposed predictive data analytics rule include?
The SEC's proposed PDA rule addresses potential conflicts of interest but also surfaces a number of complications, reactions to...
FINRA sweeps contain more than you think
FINRA sweeps provide unique value. In this blog, I explain why and provide examples for their use in a well-rounded compliance...
Q2 2023 regulatory roundup: a continued focus on popular themes
Here's my Q2 regulatory roundup from the SEC and FINRA: there's continued focus on crypto, recordkeeping, Reg BI, and consumer...
FINRA’s updated cycle exam program: What you need to know
Regulatory exams can be stressful and complex. Here's a simple breakdown of FINRA's updated cycle exam program to help firms...
Thoughts on the FINRA Annual Conference: Reg BI and off–channel communications take center stage
Regulation best interests and off-channel communications were hot topics at the 2023 FINRA Annual Conference.
AI and compliance: finding balance
As AI transforms the financial industry, regulators are working to keep up, balancing innovation and consumer protection.
Digital engagement practices: new rules or application of existing ones?
Regardless of the regulatory future, firms need to be prepared to be examined and investigated for their digital engagement...
How AI helps regulators protect and inform investors
Securities regulators have begun using AI to predict risk, determine which entities to examine, and aid investors and customers.
Regulatory recap: Q1 2023
As regulations evolve, it’s important to stay up to date. Here are findings from the SEC and FINRA that caught my eye in Q1 2023.
Looking ahead: 2023 and beyond
Looking into 2023, we expect that regulations will be shaped by factors including crypto, ESG, the SEC’s new marketing rule, and...