Tag: FINRA

AI governance in financial services is no longer a distant concern, according to a new fireside conversation hosted by RegTech firm Red Oak Compliance,...

New York's new synthetic performer law may be narrow in scope, but it carries a far-reaching lesson for marketing and compliance teams: AI-generated people...

Marketing and compliance teams across the financial services sector are under mounting pressure. Channel proliferation, AI-accelerated content production, and an ever-shifting regulatory landscape are...

Corlytics, a regulatory intelligence and risk analytics firm, has published its Q1 2026 enforcement report, revealing that global regulators issued approximately $542m in fines...

If you work in surveillance, records or risk at a financial services firm operating in or adjacent to the EU, you have probably spent...

Artificial intelligence is reshaping how organisations operate, and with that transformation comes an entirely new category of workplace interaction: AI communications, or "aiComms". According to...

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

Generative AI has transitioned rapidly from an experimental curiosity to a core operational tool across financial services. According to Saifr, firms are now deploying...

AI is no longer a future consideration for financial services firms — it is already reshaping how they manage compliance, supervision, and digital communications. According...

The US Securities and Exchange Commission (SEC) approved amendments to FINRA's Rule 3220 in February 2026, raising the annual gift limit from $100 to...