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Regulation of Robo-Advisers in the United States

In: Robo-Advisory

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  • Melanie L. Fein

    (Fein Law Offices)

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.

Suggested Citation

  • Melanie L. Fein, 2021. "Regulation of Robo-Advisers in the United States," Palgrave Studies in Financial Services Technology, in: Peter Scholz (ed.), Robo-Advisory, chapter 0, pages 105-131, Palgrave Macmillan.
    • Handle: RePEc:pal:psincp:978-3-030-40818-3_7
    DOI: 10.1007/978-3-030-40818-3_7
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