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ARTICLE · 22 JULY 2025

Financial Markets And Funds Quick Take | Issue 40

Katten
Katten
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Katten

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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

United StatesFinance and Banking
Katten Muchin Rosenman LLP
Katten Muchin Rosenman LLP
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Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds.

To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.

AI for Broker-Dealers and Investment Advisers: Legal and Regulatory Considerations

By Susan Light, David Dickstein, Alexander Kim, Nicholas Gervasi

Published by LexisNexis Practical Guidance, this practice note discusses the legal and regulatory considerations for broker-dealers and investment advisers implementing artificial intelligence (AI) technologies in their operations. It discusses obligations under the Securities and Exchange Commission's (SEC) and Financial Industry Regulatory Authority's (FINRA) rules, as well as under the Investment Advisers Act of 1940 for broker-dealers and investment advisers using AI in various parts of their operations. Read Katten's article.

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The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

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