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Welcome to this week’s issue of AI: The Washington Report, a joint undertaking of Mintz and its government affairs affiliate, ML Strategies. This issue covers recent...
...SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investmen...
With the growing use of artificial intelligence (AI) in financial markets, broker-dealers and investment advisers need to pay attention to the risks posed by AI on firms’ compliance...
On Monday, October 16, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) “released its 2024 examination priorities to inform investors and...
SEC Chairman Gary Gensler says it is “nearly unavoidable” AI will cause a financial crisis in the next decade. But will technology inevitably lead to booms and busts? Don’t be so sure.