12 Sep 2023
SEC Proposes New Rules on the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
The SEC proposed new rules on July 26, 2023, relating to possible conflicts of interest arising out of the use by broker-dealers and investment advisers of predictive data analytics and similar technologies, including AI. Read this article for a look at the proposed conflicts rules and recordkeeping rule amendments.
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