Joot Blog

Here at IM Cincy, we have started compiling a list of useful links related to the SEC, the DOJ, and other topics.

For years now, the concept of “Big Data” has been wildly popular in the business world.

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.

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.

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.

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.