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SEC Proposes New Rules on the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

September 12, 2023 (1 min read)

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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