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Software › Algorithmic Trading

Mintz

The US Securities & Exchange Commission Targets AI on Multiple Fronts: AI Sweep Examination

Mintz on

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 AI-related concerns. The SEC’s interest in the use of AI does not appear...more

Skadden, Arps, Slate, Meagher & Flom LLP

"FINRA Provides Guidance on Effective Supervision and Control Practices for Firms Engaging in Algorithmic Trading Strategies"

Skadden, Arps, Slate, Meagher & Flom LLP on

The Financial Industry Regulatory Authority (“FINRA”) issued a regulatory notice (the “Notice”) in March 2015 that provides guidance on effective supervision and control practices for firms engaging in algorithmic trading...more

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