AI

'There’s a logical hole somewhere in the network architecture...'

'This is not where anybody wants to be a first mover...'

"The use of predictive data analytics, however, also can lead to potential conflicts. Conflicts may arise to the extent that advisers or brokers are optimizing ...

"As to artificial intelligence, this technology already is playing a part in call centers, account openings, compliance programs, trading algorithms, sentiment analysis, robo-advisers, and brokerage ...

"The SEC’s approach to regulating crypto looks somewhat like a decidedly unromantic version of CompuDate from the old TV show: we tell people to come ...

If you think cybersecurity is tough now, don’t worry. It’s going to get worse.

FINRA has developed tools that draw upon artificial intelligence, machine learning and "deep" learning to identify suspicious trading

"I am very much looking forward to hearing from our two expert panels, the first of which will address the often knotty questions of ethics ...

Fleming says recent events have exposed what may be a significant flaw in Regulation Best Interest

We could see “herding, interconnectedness, and concentration” that could “lead to system-wide issues,” warned Gensler. He cited the “herding” seen in “subprime mortgages before the ...