FINRA

FINRA member firms (“Members”), and the enterprise organizations in which many sit, are moving rapidly to deploy firm-approved artificial intelligence tools for use by their employees. As adoption accelerates, the…

Continue Reading Internal Reviews Covering the Use of AI by FINRA Associated Persons
  • Increasing Focus on AI — AI developments and uses and the evolving legal and regulatory landscape may bring about new litigation and enforcement risks stemming from claims of algorithmic bias,
… Continue Reading Outlook 2026: Financial Services Litigation
On December 9, 2025, the Financial Industry Regulatory Authority (FINRA) released both its 2026 FINRA Annual Regulatory Oversight Report (the “Report”), and a companion FINRA Unscripted podcast (the “Podcast”), featuring senior FINRA leaders providing insights about the Report. … Continue Reading Providing Useful Tools: FINRA Releases its 2026 Annual Regulatory Oversight Report, Together with a FINRA Unscripted Podcast Filled with Senior Leadership Insights

On March 12, 2025, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 25-04, seeking public comment on its initiative to modernize regulatory requirements for Members and Associated Persons.
Continue Reading With an Eye Toward Modernization, FINRA Requests Comment on Its Regulatory Requirements for Members and Associated Persons

On May 17, 2023, Prometheum Ember Capital LLC (Prometheum Ember Capital), a subsidiary of Prometheum Inc., received approval from the Financial Industry Regulatory Authority (FINRA) to…

Continue Reading FINRA Approves Prometheum Ember Capital LLC to Operate as Special Purpose Broker-Dealer for Digital Assets