United States: Expansive SEC Predictive Data Proposal Surprises Broker-Dealers, Advisers & Technology Providers - Mintz

Friday, 11 August 2023
The US Securities and Exchange Commission recently proposed rules for conflicts of interest in the use of predictive data analytics or similar technologies by broker-dealers and investment advisers.

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United States: We're Not In Kansas Anymore: The SEC Proposes Rules For The Use Of Predictive Data Analytics By Broker-Dealers And Investment Advisers - K&L Gates

On July 26, 2023, the Securities and Exchange Commission ("SEC") proposed new rules ("Proposal") intended to address certain conflicts of interests associated...
Mondaq on August 1, 2023

United States: Expansive SEC Predictive Data Proposal Surprises Broker-Dealers, Advisers & Technology Providers - Mintz

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United States: We're Not In Kansas Anymore: The SEC Proposes Rules For The Use Of Predictive Data Analytics By Broker-Dealers And Investment Advisers - K&L Gates