AI

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 ...

FinTech is transforming the securities industry in many ways and FINRA wants to make sure it’s supporting innovation while still protecting investors and market integrity. ...

The wild west of FinTech may have to be corralled before innovations like Blockchain or distributed ledger technology enjoy the widespread use its proponents imagine. ...

The SEC has made “recent and rapid advancements” with its analytic programs that are harnessing the power of big data and these developments are having ...