Tag: FINRA

For anyone working in surveillance, records or risk at an EU-regulated financial services organisation, the past few months have brought a familiar mix of...

Artificial intelligence is fundamentally reshaping how organisations operate. Businesses across every sector are racing to deploy AI tools in pursuit of greater productivity, efficiency...

When a newly hired registered representative joins a broker-dealer firm, the compliance clock starts ticking immediately. In most firms, it can take two to...

Generative AI has rapidly transitioned from a novel experiment to an embedded operational tool across financial services. According to Saifr, firms are now deploying...

The opening months of 2026 have sent a clear message to financial services firms: regulatory momentum is not letting up. As artificial intelligence becomes...

Artificial intelligence has moved well beyond buzzword status in financial services. It is now embedded in the day-to-day processes firms use to manage, monitor...

For the first time in more than three decades, FINRA has raised the annual gift limit under Rule 3220. The Securities and Exchange Commission...

AI is rapidly reshaping supervisory controls across financial services, with 94% of firms either deploying or planning to deploy AI-based detection tools. From communications...

FINRA’s 2026 Annual Regulatory Oversight Report has set a clear tone for the year ahead, placing generative AI (GenAI) governance and off-channel communications squarely...

Zeidler Group said the SEC’s latest Marketing Rule FAQs, released last Friday, are a targeted clarification rather than a market-moving shift, and warned asset...