SEC in uncharted waters with “gamification” of trading (BARRON’S)
FrontLine Compliance
The SEC’s recent news that it is seeking public comments on the digital engagement practices of broker-dealers and investment advisers will likely lead to a review of certain stock trading apps and gamification methods used with investors. It’s new territory for the SEC, explains Amy Lynch, FrontLine’s Founder and President. Ms. Lynch notes that regulations have not been written to address the types of issues the SEC may uncover looking at the technology and its…
