Abstract
Trading markets are dynamic. The composition of trading centres and market behaviour are constantly evolving. The number of market events is also constantly increasing, often in response to significant events like the COVID-19 pandemic. The dynamic nature of trading markets poses significant challenges for regulators that are responsible for exercising oversight of market activities. This paper discusses the Financial Industry Regulatory Authority’s research and development projects dedicated to experimenting with the development and improvement of artificial intelligence, machine learning and deep learning market surveillance techniques or tools. Such experimentation is critical for regulators to continue to keep pace with dynamic markets. The development and improvement of such techniques and tools holds the potential for continued effective oversight of market activities.
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