James Brigagliano, Author at Data Matters Privacy Blog

About James Brigagliano

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Entries by James Brigagliano

10 08 '23

SEC Proposes Sweeping New Rules on Use of Data Analytics by Broker-Dealers and Investment Advisers

August 10, 2023/in AI, Big Data, Regulation, SEC/by James Brigagliano

On July 26, 2023, the U.S. Securities and Exchange Commission (SEC or Commission) proposed new rules for broker-dealers (Proposed Rule 15(1)-2) and investment advisers (Proposed Rule 211(h)(2)-4) on the use […]

31 01 '23

FINRA Issues 2023 Report on Its Examination and Risk Monitoring Program

January 31, 2023/in Cybersecurity, Enforcement, Policy, SEC/by James Brigagliano

On January 10, 2023, the Financial Industry Regulatory Authority (FINRA) published its 2023 Report on its Examination and Risk Monitoring Program (the Report).1 The 75-page Report includes four new topic areas […]