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The SEC Is Nervous About Options
On February 23, 2018, Commissioner Kara M. Stein gave a speech about broad ethical and economic considerations regarding the rapid advances in financial product innovation, which appears to be accelerating as financial firms increasingly use technology to expand their product line and deepen their reach into retail markets.
SEC Decides It's Time to Help Investors Understand the Difference between Brokers and Advisers
The SEC has finally proposed a rule that will help clarify the distinction between brokers that refer to themselves as "financial advisors" and investment advisers.
Liquidity Is Out, ETFs Are In
The SEC’s stance on its not-yet-effective liquidity rule appears fluid, as commissioners push to abandon part of the rule and certain division heads move on to other topics.
Artificial Intelligence in Investment Management Part 2: The Service Providers
In this second post of our three-part series, we discuss how AI systems are being used by service providers and the impact of those systems on asset managers.