Steffen Hemmerich

SEC Division Of Examinations Announces 2025 Exam Priorities

FINRA Highlights Increasing Cybersecurity Risks At Third-Party Providers

FINRA Reminds Members Of Regulatory Obligations When Using Generative Artificial Intelligence (AI) And Large Language Models

SEC Adopts Amendments To Regulation S-P

SEC Adopts Rules To Require Registration Of Certain Persons Engaging In Liquidity-Providing Activities As "Dealers" And "Government Securities Dealers"

FINRA Announces Effective Dates For Remote Inspections Pilot Program & Residential Supervisory Location Rules; COVID-19 Relief Ends

FINRA Publishes 2024 Annual Regulatory Oversight Report

SEC Announces 2024 Exam Priorities

SEC Significantly Narrows Exemption From FINRA Membership For Proprietary Trading Firms

SEC Proposes Rules On Broker-Dealer And Investment Adviser Use Of Predictive Data Analytics And On Internet Investment Adviser Registration