"It’s important to recognize, however, that an AI model’s optimization function may incorporate conflicts of interest between the platform and its customers. When brokers or ...
"[W]e at the Commission need to take a breath and focus on providing clarity to market participants rather than embarking on a more aggressive agenda ...
"Artificial intelligence could unleash great potential for investors, including through increased and lower-cost access to personalized investment advice. Innovation in this area is something that ...
"As AI technologies evolve and mature, we will need to stay abreast of any potential risks that they may give rise to"
There are reports some SEC examiners recently have issued exam deficiencies as they interpreted arbitration clauses as preventing clients to take disputes to court
Examining the SEC's defeat in court over its new PF rules, where the lines are drawn around advisers' use of arbitration clauses, new Form PF ...
SEC Enforcement Director calls out the true, tangible benefits for parties that cooperate with Commission investigations
"Another characteristic of the Treasury markets is the use of leverage often facilitated by prime brokerage relationships between hedge funds and nonbank intermediaries on the ...
This DOE risk alert provides insights into how the SEC selects B-Ds to examine, and topics to query
This is the decision, 3-0, vacating the SEC's new private fund rules