General Counsel
Tw Li

January 13, 2021


FRB Governor Promotes Financial Inclusion through AI

Steven Lofchie

Commentary by Steven Lofchie

At an AI Academic Symposium, Federal Reserve Board Governor Lael Brainard compared the potential benefits and the regulatory risk of artificial intelligence in financial services.

Firm Settles FINRA Charges for Supervisory Failures on Variable Annuity Contracts

A firm settled FINRA charges for supervisory failures over variable annuity contracts.

Also Covered

Reg. Tracker: January 1 to January 15

Reg. Tracker: January 1 to January 15

The Cabinet Regulatory Tracker is a list of effective dates, compliance dates, comment deadlines and expiration dates.