Hugh Kennedy
A FINRA review of a broker-dealer's advertised trading volume uncovered the overstating of volume on Bloomberg by 2.1 billion shares
The use of financial social media influencers is growing in popularity, which means increased regulator scrutiny
FINRA's rules apply when firms use Gen AI for business just as they do when firms use any other technology or tool
Regulatory and compliance issues for municipal advisors and dealers are on the agenda
SRO advises not to close/withdraw any existing Form BR for those locations that are or will be designated as a "residential supervisory location"
FINRA suggests broker-dealers need to make sure their IT personnel are aware of the quishing attack vector
Report shows all-time record highs in IAs registered with the SEC, assets under management, and non-clerical employees
Including performance results in advertisements is the most common marketing practice among SEC-registered investment advisers
Report stated that more consumers indicated trusting individual financial professionals than AI
The rapid transformation of markets and business models due to technology is a pressing concern in chairman's view