AI

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 ...

"I believe existing regulations are likely to fall short when it comes to the broad adoption of new forms of predictive digital analytics in finance"

We are living in a transformational time, perhaps as transformational as the internet itself. Artificial intelligence, predictive data analytics, and machine learning are shaping and ...

Advisers see disturbing signs of regulatory innovation

As new technologies come along, we need to be sure we’re achieving our core public policy goals

Memo to FINRA as it contemplates ways to monitor and adapt its rules and regulations to the exploding number of FinTech innovations: Tread lightly, please. ...

FINRA is finally wising up to the potential of new technologies that assist firms in meeting their compliance obligations. Unfortunately, it is also leery of ...