TD Ameritrade's bot will be backed by a human customer support team, which will receive notifications if the bot detects it is unable to handle some interactions.
Steven Peiken, the new co-head of enforcment, held as much as $9 million worth of stock and William Hinman, the SEC's director of corporate finance, represented big banks and technology companies.
VelocityShares Long LIBOR Exchange-Traded Notes and VelocityShares Short LIBOR ETNs track an index designed to mimic changes in the U.S. dollar-denominated London interbank offered rate (Libor).
Vanguard and other fund companies have pushed to pass several high-profile shareholder resolutions on climate risk at big energy firms like Exxon Mobil Corp and Occidental Petroleum Corp.
A total of 22 actively managed mutual funds and exchange-traded funds have more than 5 percent of their portfolios in the company, according to Morningstar data.