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FINRA Regulatory Notice 24-09
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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.
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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.