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Expansive SEC Predictive Data Proposal Surprises Broker-Dealers, Advisers & Technology Providers - Financial Services

Published: August 11, 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.

Source: mondaq.com

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Mark UyedaHester PeirceExchange CommissionTechnology ProvidersComment Period ConsiderationsRegulation Best InterestFrequently Asked