Navigating the Regulatory Landscape for AI-Driven Securities Promotion
- Resources
- News & Regulatory Updates
Navigate the complex regulatory landscape of AI-driven securities promotion with our expert insights. Learn how broker-dealers can leverage AI while ensuring compliance with SEC and FINRA regulations. Contact us for tailored legal guidance!
Key Highlights:
- Regulatory Compliance: Understand the importance of adhering to SEC and FINRA rules for AI-generated content in securities promotion.
- Broker-Dealer Responsibilities: Explore the critical role of broker-dealers in ensuring that AI marketing strategies are compliant and transparent.
- Key Regulations: Review essential regulations like FINRA Rule 2210 and SEC Rule 17a-4 that govern AI-driven communications.
- Risk Management: Learn about the importance of AI model risk management and the need for continuous monitoring and validation.
- Vendor Oversight: Discover best practices for managing third-party AI vendors to ensure compliance and accountability.
Contact Us
+1 202-854-0515
info@lawvisory.com
1250 Connecticut Ave NW #700, Washington, DC 20036