Artificial Intelligence and the Practice of Law: California SB 574 and New Protections for Clients
Artificial intelligence (“AI”) has rapidly become part of everyday life. Millions of people now use AI systems such as ChatGPT,…
Read MoreMonth: May 2026
Received a FINRA Rule 8210 Letter? What Financial Advisors Need to Know
A Rule 8210 letter from the Financial Industry Regulatory Authority, or FINRA, is not ordinary correspondence. For financial advisors, registered…
Read MoreWarning: Your AI Chat Is Not Privileged and It Probably Doesn’t Help That Much
Artificial intelligence is no longer a back-office tool in financial services. It is now embedded directly in how retail investors—particularly…
Read MoreWhen AI Picks the Trades: Liability Risks for Broker-Dealers, RIAs, and Registered Representatives
Artificial intelligence is no longer a back-office tool in financial services. It is now embedded directly in how retail investors—particularly…
Read MoreFive Litigation Traps Financial Institutions Should Avoid in Customer Arbitrations
Customer arbitration is one of the most common forums for resolving disputes between financial institutions and their clients. For broker-dealers…
Read MoreFINRA Signals Possible Overhaul of Its Arbitration System
FINRA has begun a broad review of the rules governing its arbitration forum. In Regulatory Notice 26-06 (“RN26-06”), FINRA requested…
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