W. Hardy Callcott, Jay G. Baris, James Brigagliano, Benson R. Cohen, Ranah Esmaili, Nathan J. Greene, Laurin Blumenthal Kleiman, Michael D. Wolk, Chuck Daly, 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 […]