The Rise of AI-Driven Investing in Retail Finance Generative artificial intelligence (“GenAI”) innovations are rapidly transforming the formulation, analysis, and delivery of investment advice. Many broker-dealers and investment advisers are…
On February 20, 2025, the SEC announced the creation of the Cyber and Emerging Technologies Unit (“CETU”) to focus on “combatting cyber-related misconduct and to protect retail investors from bad…
On January 28, 2025, FINRA released its 2025 FINRA Annual Regulatory Oversight Report (the “Report”). As was the case in 2024, the Report highlights continuing and emerging trends in artificial…
On December 19, 2024, the U.S. Department of Treasury (“Treasury”) released a report on The Uses, Opportunities, and Risks of Artificial Intelligence in the Financial Services Sector (the “Report”). The…
As we approach the end of the year, here are the Top 10 SEC Cyber/AI posts on the Debevoise Data Blog in 2024 by page views. If you are not…
While the SEC made an early foray into proposing rules to govern use of generative AI (Gen AI) by broker-dealers,[1] FINRA has been taking a more traditional approach to emergent…
On May 16, 2024, the SEC adopted amendments to Regulation S-P (“Reg S-P”) one year after its proposed amendments (the “Proposed Amendments”). The finalized amendments (“Amended Reg S-P”) largely track…
On March 18, 2024, the U.S. Securities and Exchange Commission (“SEC”) announced settled charges against two investment advisers, Delphia (USA) Inc. (“Delphia”) and Global Predictions Inc. (“Global Predictions”) for making…
As we approach the end of the year, here are the Top 10 posts on the Debevoise FinReg and FinTech Blog in 2023. If you are not already a Blog…
As we approach the end of the year, here are the Top 10 SEC cyber posts on the Debevoise Data Blog in 2023 by page views. If you are not…