AI Update: SEC Data Analytics Proposal
Financial industry trade groups have made moves to protest the SEC’s “Conflicts of Interest Associated with the Use of Predictive Data Analytics by…
Source: biztoc.com
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AI Update: Clients Aren't Afraid Of AI, SEC Data Analytics Proposal, IBM CEO On Regulation
A new survey from the legal technology company Clio found that clients tend to be “more optimistic” about the use of generative AI than the lawyers that represent them, according to a write-up of Clio’s findings in the ABA Journal. The tech company’s finding contrasts with a previous survey from Pew Research that determined public anxieties about AI to be a major hurdle for companies looking to utilize AI technology. Financial industry trade groups have made moves to protest the SEC’s...
Source: abovethelaw.com
Securities traders gather in Washington, trying to figure out the SEC
The annual conference is devoted to market structure, but the scope has widened over the years. More than 800 will be in attendance at this year's meeting.
Source: cnbc.com
The US Securities & Exchange Commission Targets AI on Multiple Fronts: AI Sweep Examination
My last note touched on a recent SEC rule proposal regarding Predictive Data Analytics, and a speech by Chair Gary Gensler highlighting a number of…
Source: lexology.com
Danger, Does Not Compute: SEC Takes Aim at Predictive Data Analytics Per Proposed Rules | DarrowEverett LLP
On July 26, 2023, the Securities and Exchange Commission (“SEC”), in a 3-2 vote, issued a release (the “Release”) containing proposed rules to address conflicts of interest associated...
Mark Uyeda Hesterm Peirce Carl Ayers Securities Exchange Exchange Commission Securities Exchange Act
Source: jdsupra.com
Artificial Intelligence: SEC Proposals And Concerns - New Technology
The US Securities and Exchange Commission (SEC) indicated this summer that it plans to introduce proposals to regulate conflicts of interest associated with artificial intelligence...
United States Gary Gensler Lily Bailey Scottw Baugess Michaelj Hsu Division Of Investment Management
Source: mondaq.com
SEC Proposes Rules to Address Conflicts of Interests Associated with the Use of Predictive Data Analytics | Dorsey & Whitney LLP
The Securities and Exchange Commission (the “SEC”) proposed new rules under the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 to address the risks to investors...
Securities Exchange Exchange Commission Dorsey Whitney Securities Exchange Act Investment Advisers Act Interest Associated
Source: jdsupra.com
Algorithmic Allegiances: Proposed SEC Rule to Regulate Conflicts of Interest in Technology | Vinson & Elkins LLP
In a move to address the implications of integrating emerging technologies into the financial markets, the U.S. Securities and Exchange Commission (the “SEC”) recently proposed new...
Source: jdsupra.com
SEC Proposes Rules on Broker-Dealer and Investment Adviser Use of Predictive Data Analytics and on Internet Investment Adviser Registration
On July 26, 2023, the U.S. Securities and Exchange Commission ("SEC" or the "Commission") released two sets of rule proposals. First, the SEC…
Securities Exchange Exchange Commission Securities Exchange Act Investment Advisers Act Proposed Conflicts Rules Regulation Best Interest
Source: lexology.com
SEC Proposes Sweeping Rules on Broker-Dealer and Investment Adviser Technology Use | Morgan Lewis
The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor...
Morgan Lewis A Covered Technology Exchange Act Release No Financial Industry Regulatory Authority Investment Company Significant Expansion Of The Regulation Communications
Source: jdsupra.com