The Use of AI in the Securities Industry: U.S. Regulatory Considerations for Broker-Dealers and SEC-Registered Investment Advisers (Volume 57, Number 19—November 6, 2024)
Author: Jennifer D. Morton.
Source: Volume 57, Number 19, November 1 2024 , pp.203-211(9)
Abstract:
In this article, the author explores the current U.S. regulatory environment with respect to the use of AI by U.S. broker-dealers and SEC-registered investment advisers and sets forth certain legal and compliance considerations.Keywords: FINRA’s Current Regulatory Framework; SEC Proposed Rules (“Proposing Rel. No. 34-97990”); Regulating AI and Machine Learning; “AI Washing”
Affiliations:
1: A&O Shearman.