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FINRA settles with Credit Suisse Securities for trade surveillance lapses
Technology issues and lax supervisory procedures allegedly led to “hundreds of millions” of trade, order and position records being omitted from its surveillance systems.
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The most-listened-to GRIP Podcasts of 2025
Compliance and crypto were two hot topics in the most-listened-to episodes of the year.
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Speeches in 2025 express exuberance for change and concern over same
Speakers emphasized technology‑neutral and principles‑based regulation, teased on new policies to come, or raised red flags.
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Dana-Farber Cancer Institute pays $15m to resolve false claims charges
The case was exposed by an independent sleuth who used AI to uncover fraudulent, manipulated, and duplicated images.
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AI Summit NY: Human advantage at the AI-driven workplace
At the AI Summit New York, speakers converged on a clear distinction between what machines do best and where humans remain indispensable.
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FINRA disciplinary action update 2025/47
Disciplinary decisions issued December 13 – 19, 2025.
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NY passes landmark AI law to ensure safety of advanced models
New York joins California in mandating certain disclosures and safety protocols in the training and use of AI frontier models.
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The GRIP Files: Janaya Moscony, SEC3
Janaya Moscony, President at SEC3, and a former SEC regulator, discusses her career to date and tells us what “gift” she would like to receive from the regulator.