AI

"Artificial intelligence could unleash great potential for investors, including through increased and lower-cost access to personalized investment advice. Innovation in this area is something that ...

"As AI technologies evolve and mature, we will need to stay abreast of any potential risks that they may give rise to"

Artificial intelligence was flagged as an “emerging risk” in the 2024 FINRA Annual Regulatory Oversight Report and the SRO cautioned that the use of AI ...

"Individual liability for disclosure failures related to AI as a security threat may therefore be of particular interest to you"

Cases 'should serve notice to the investment industry,' Enforcement Division Director Grewal says in video.

The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...

Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...

"AI washing, whether it's by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing ...

"If an investment adviser is claiming to employ AI and offering you investment advice, or a company is making claims about incorporating AI technology in ...

The "biggest and most powerful" implementation being seen so far with AI is efficiency gains