Mark Zhuang

SEC Division Of Examinations Announces 2025 Exam Priorities

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

US SEC Announces Significant Amendments To Form PF

US SEC Announces 2023 Exam Priorities