Broker/Dealer Advisory Content

On January 16, 2025, the SEC announced that it settled charges against two registered investment advisers (the "Advisers"), for breaching their fiduciary duties by failing to reasonably address known vulnerabilities in their investment models and for related compliance and supervisory...

On December 19, 2024, the Department of the Treasury published a report on the Uses, Opportunities, and Risks of Artificial Intelligence in Financial Services Sector.

The Missouri Secretary of State filed a proposed amendment and a proposed rule identifying practices in the brokerage industry and investment adviser industry that are generally associated with acts that deceive and defraud.