FINRA Regulatory Notice 24-09
-
New guidance from Department of Commerce on safe development of AI
Commerce presses on with measures on AI risk mitigation, adding to a slew of measures this year from US regulatory agencies.
-
FINRA: AI and LLMs not exempt from securities laws and regs
In Regulatory Notice 24-09, FINRA points out that its rules are intended to be technology neutral and that firms must remain compliant when leveraging new technologies.