Tag: FINRA

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...

AI-driven supervision has rapidly become embedded across financial services. Recent industry research shows that 94% of firms are either already using or actively planning...

The release of the 2026 Annual Regulatory Oversight Report by the Financial Industry Regulatory Authority (FINRA) sets out the regulator’s examination and enforcement priorities...

Zeidler Group has urged asset managers to treat the SEC’s latest Marketing Rule FAQs as a targeted clarification rather than a market-moving change, arguing...

Financial firms are rolling out AI note-taker tools at speed, drawn by the promise of lighter admin and faster documentation. But convenience comes with...

Financial advisors operate in one of the most tightly regulated parts of financial services, and the pressure is rising. As client expectations increase, rules...