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A service for banking industry professionals · Monday, September 21, 2026 · 943,952,586 Articles · 3+ Million Readers
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Financial Industry Regulatory Authority (FINRA) News Monitoring

  • Published on Sep 20, 2026

    Resistance to AI gathers strength

    The world is becoming increasingly aware of the dangers posed by the development of artificial intelligence (AI), ranging from the terrifying risk of human extinction to potential disruption of labor markets, cognitive and mental health impacts, threats to …

    Source: El País - Center-left
  • Published on 10:12 GMT

    Before You Dive Into a Side Gig, Consider These Issues

    Follow us Add us as a preferred source on Google Newsletter Subscribe to our newsletter Working more than one job is becoming more popular. According to a Harris Poll, more than half of Gen Zers have a side hustle, compared with 21% of boomers. Advances in …

    Source: Kiplinger - Neutral
  • Published on 12:11 GMT

    Top 10 Crowdfunding Platform Development Companies With Real Compliance Experience

    Most crowdfunding platforms don't fail on design. They fail when a regulator asks about escrow and investor limits. Here are 10 development partners that build with compliance at the core. A crowdfunding platform usually fails for a quiet reason. The …

    Source: WhaTech - Neutral
  • Published on 12:15 GMT

    Why Your 15% Return Isn't Really 15% — and How Private Market Investments Can Help Fix That

    Follow us Add us as a preferred source on Google Newsletter Subscribe to our newsletter Most investors put all their energy into picking the right investment. Almost none of them stop to calculate what they actually keep after the government takes its cut …

    Source: Kiplinger - Neutral
  • Published on Sep 20, 2026

    Divisions emerge in tech industry over calls for AI slowdown

    Fears about out-of-control artificial intelligence and suggestions to hit the brakes on the technology's development aren't new, but they have recently found new life as warnings about rogue AI systems causing mayhem grow louder. Several leading AI …

    Source: 1News - Center-left
  • Published on Sep 15, 2026

    FINRA Pressed To Tighten 'Finfluencer,' AI Communications

    By Jessica Corso ( September 14, 2026, 9:03 PM EDT) -- A coalition of state regulators has urged the Financial Industry Regulatory Authority to more closely monitor how broker-dealers use social media and artificial intelligence to communicate with the …

    Source: Law360 - Neutral
  • Published on Sep 19, 2026

    Investors Borrowed $1.45 Trillion to Buy Stocks. Is the Market One Correction Away From a Margin-Call Avalanche?

    Borrowed money quietly inflates stock-market returns until prices fall, and then it becomes a loaded gun. The scale of today's margin lending raises a question worth sitting with before the next downturn arrives. Stock-market gains can make leverage …

    Source: 24/7 Wall St. - Neutral
  • Published on Sep 19, 2026

    The AI regulation smackdown isn’t over

    At the start of this week, the who’s-who of AI seemed — at least tentatively — on the side of AI regulation. Over the weekend, Anthropic CEO Dario Amodei had proposed a three-step plan for slowing AI development, including by embedding third-party …

    Source: The Verge - Center-left
  • Published on Sep 19, 2026

    Inside AI's growing safety debate

    Jacob Coxon spent three years building the very systems he now says could kill everyone. The 27-year-old British researcher, who had earlier worked at OpenAI, publicly announced his resignation from Anthropic in a seven-part thread on X, accusing both …

    Source: Forbes India - Pending
  • Published on Sep 15, 2026

    Internal Reviews Covering the Use of AI by FINRA Associated Persons

    FINRA member firms (“Members”), and the enterprise organizations in which many sit, are moving rapidly to deploy firm-approved artificial intelligence tools for use by their employees. As adoption accelerates, the available tools (and employees’ ability …

    Source: National Law Review - Neutral
  • Published on Sep 19, 2026

    This week in AI: Can the industry contain what it's building

    Safety dominated AI conversation this week, and the question wasn't just what guardrails to build, but whether the technology is already moving too fast for any guardrail to hold.The post went viral, and current Anthropic staff, including alignment …

    Source: Forbes India - Pending
  • Published on Sep 15, 2026

    Modernizing Rule 2210: What FINRA’s recent proposals signal for broker-dealer communications

    The proposed changes around retail communications and certain representations of projected performance or targeted returns have tangible implications for B-D firms' compliance policies and procedures. Broker-dealers may soon have more flexibility in …

    Source: Investment News - Neutral
  • Published on Sep 17, 2026

    Inside the White House tussle to sway Trump on AI

    Demis Hassabis, chief scientist of Google parent Alphabet, had been pitching White House officials on an industry-funded group that would set standards and prevent harm, similar to the Financial Industry Regulatory Authority, which oversees brokerage firms …

    Source: Mint - Neutral
  • Published on Sep 11, 2026

    Boutique Bellementis Brings On Ex-FINRA Enforcer

    By Katryna Perera ( September 10, 2026, 9:36 PM EDT) -- A former senior Financial Industry Regulatory Authority enforcement attorney has joined the boutique firm Bellementis PLLC as a partner in Washington, D.C.... Law360 is on it, so you are, too. A …

    Source: Law360 - Neutral
  • Published on Sep 18, 2026

    Zuckerberg, Musk and Huang reportedly convinced Trump to block AI regulator

    Published on September 18, 2026 Billionaire tech CEOs Mark Zuckerberg, Elon Musk and Jensen Huang spoke with President Donald Trump last month and convinced him to block efforts to establish an AI industry-funded regulator, the Wall Street Journal reported …

    Source: Forbes Australia - Pending
  • Published on Sep 18, 2026

    Trump Backs Away From Industry-Funded AI Regulator After Zuckerberg, Musk and Nvidia's Huang Object, Report Says

    Mark Zuckerberg, Elon Musk and Nvidia chief Jensen Huang reportedly persuaded Donald Trump not to move forward with an industry-funded artificial intelligence watchdog after warning it could hand even greater power to the biggest AI laboratories. The three …

    Source: International Business Times - United Kingdom - Neutral
  • Published on Sep 18, 2026

    The End of Shopping? Agentic AI and the Future of Consumer Financial Services Introduction

    Artificial intelligence is rapidly moving from helping consumers make purchasing decisions to making those decisions for them. So-called “agentic AI” or “AI shopping agents” could search for financial products, compare prices and terms, negotiate with …

    Source: JD Supra - California - Neutral
  • Published on Sep 10, 2026

    Client Alert: FINRA Forward Report May Reshape Enforcement Expectations for Member Firms

    The Financial Industry Regulatory Authority's (FINRA) latest step in its FINRA Forward initiative gives member firms a clear signal: changes may be coming to how it investigates, communicates, and resolves enforcement matters. The newly released report …

    Source: National Law Review - Neutral
  • Published on Sep 9, 2026

    FINRA Adopts New Intraday Margin Requirements

    The Financial Industry Regulatory Authority (FINRA) recently adopted amendments to FINRA Rule 4210 Margin Requirements (Amendments), which will substantially alter the supervision and regulation of margin day trading. The Amendments were designed to …

    Source: JD Supra - California - Neutral

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