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Innovative Technology › Investment Management › Securities and Exchange Commission (SEC)

Manatt, Phelps & Phillips, LLP

SEC Moves Closer to Regulating the Use of AI by Broker-Dealers and Investment Advisers

Manatt, Phelps & Phillips, LLP on

The Securities and Exchange Commission (SEC) held an open meeting of its Investment Advisory Committee on June 6, 2024, which featured a panel to review the use of artificial intelligence in investment decision making....more

Cadwalader, Wickersham & Taft LLP

SEC Proposes Rule to Address Use of AI By Broker-Dealers and Investment Advisors

Cadwalader, Wickersham & Taft LLP on

Spurred by the prevalent use of predictive data analytics by broker-dealers and investment advisers to direct their recommendations to investors and to ensure that investor interests remain paramount, the Securities and...more

Polsinelli

SEC’s FinHub Hosts Public Forum

Polsinelli on

The Securities and Exchange Commission’s (“SEC”) Strategic Hub for Innovation and Financial Technology (“FinHub”) hosted an important public forum on Friday, May 31, 2019 at the SEC headquarters in Washington, D.C. ...more

Carlton Fields

SEC and OCC Seek Accommodation with Fintech Firms

Carlton Fields on

In November, industry participants and their regulators convened at the SEC for a special forum on the use of financial technology (fintech). In recent years, large amounts have been invested in fintech platforms such as...more

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