Proposed SEC Rules on Predictive Data Analytics for Dealer-Brokers and Investment Advisors

Regulation | Aug 1, 2023 The Securities and Exchange Commission (SEC) has recently proposed new rules that would require broker-dealers and investment advisers (collectively referred to as "firms") to address conflicts of interest associated with their use of predictive data analytics and similar technologies. Motivation for Proposing the Rules The SEC's motivation for proposing these

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