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SEC Proposes Sweeping Rules on Broker-Dealer and Investment Adviser Technology Use | Morgan Lewis

The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in โ€œinvestor...
Morgan Lewis A Covered Technology Exchange Act Release No Financial Industry Regulatory Authority Investment Company Significant Expansion Of The Regulation Communications

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SEC takes on AI use by broker-dealers and investment advisers - Expansive coverage of types of technology and investor interaction in play | Eversheds Sutherland (US) LLP

In a Legal Alert issued before the SEC open meeting, we posed five questions that our Investment Services team would be looking out for as part of this meeting. We now have answers to...
White House District Of Columbia United States Securities Exchange Exchange Commission Investment Services

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