Regulation of Robo-Advisers in the United States

Melanie L. Fein ()
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Melanie L. Fein: Fein Law Offices

Chapter Chapter 7 in Robo-Advisory, 2021, pp 105-131 from Palgrave Macmillan

Abstract: Abstract Robo-advisers Robo-advisor are regulated in the United States under the existing regime governing investment advisers. This chapter describes how that regime applies to robo-advisers, focusing on regulatory Regulation guidance and addressing such matters as the suitability of robo-adviser recommendations, disclosures, compliance, and investor concerns. As discussed herein, US regulators have identified issues unique to robo-advisers but, generally, have taken the position that the existing framework is adequate to regulate their activities and protect investors.

Date: 2021
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Persistent link: https://EconPapers.repec.org/RePEc:pal:psincp:978-3-030-40818-3_7

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DOI: 10.1007/978-3-030-40818-3_7

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