Financial firms seeking guidance on AI, the threat of cyberattacks, market manipulation, or fraud targeting senior clients can turn to annual guidance issued by the Financial Industry Regulatory Authority.
The Regulatory Oversight Report is designed to assist firms in their quest to remain in, or move toward, compliance, FINRA said in releasing the report Tuesday. The report is one step in a series that FINRA plans to take to improve its ability to follow through on its mission of “protecting investors and safeguarding market integrity,” it said.
