We are probably still years away from Wall Street being overrun by actual robots. Nonetheless, artificial intelligence (AI) tools are divisively integrating into all aspects of society—from the classroom to the courtroom....more
8/9/2023
/ Analytics ,
Artificial Intelligence ,
Broker-Dealer ,
Comment Period ,
Conflicts of Interest ,
Investment ,
Policies and Procedures ,
Proposed Regulation ,
Public Comment ,
Regulatory Agenda ,
Risk Management ,
Robo-Advisors ,
Robotics ,
Securities and Exchange Commission (SEC) ,
Securities Traders ,
Technology Sector
The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2023 Unified Agenda of Regulatory and Deregulatory Actions (the Agenda). The word salad of a title hints at the fact the SEC is considering a...more
6/27/2023
/ Analytics ,
Artificial Intelligence ,
Broker-Dealer ,
Cybersecurity ,
Investment Companies ,
Machine Learning ,
Outsourcing ,
Private Funds ,
Registration Requirement ,
Regulatory Agenda ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Technology
The 2023 Securities Industry and Financial Markets Association’s (SIFMA) Compliance & Legal Annual Seminar, as usual, was well attended by compliance and legal professionals, including FINRA executives and SEC directors. The...more
Riding the coattails of recent news, FINRA announced on November 14th that it is conducting a targeted exam of firm practices regarding retail communications concerning “Crypto Asset” products and services....more
On the heels of the SEC’s recent approval of the “Reg BI Package,” on June 26, 2019 the U.S. House of Representatives passed a bill that would prevent enforcement of Reg BI. Specifically, Rep. Maxine Waters included a last...more