Comments on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

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Comment
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B: 34

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 8, 2025 meeting with representatives of JP Morgan Chase
Public Comment Waila Saecedo
Public Comment David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute (FSI)
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a March 27, 2025 Roundtable on Artificial Intelligence in the Financial Industry
Public Comment Kenneth Bond
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an October 1, 2024 meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 18, 2024, meeting and videoconference with representatives of the U.S. Chamber of Commerce
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a September 12, 2024, virtual meeting with representatives of the American Securities Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 11, 2024 meeting with representatives of the Investment Adviser Association ("IAA") and its member organizations
Public Comment Benjamin L. Schiffrin, Director of Securities Policy, Better Markets, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 22, 2024 meeting with representatives of the LPL Financial (LPL)
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an August 20, 2024 meeting with Investor Advocates
Meeting with SEC Officials Memorandum from the Office of Chair regarding an August 6, 2024 meeting with Better Markets
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a July 11, 2024 meeting with BlackRock, Inc.
Public Comment American Investment Council, Managed Funds Association, Alternative Investment Management Association, National Venture Capital Association, Loan Syndications and Trading Association, and National Association Private Fund Managers
Public Comment Cory Christian Michael Elliott
Meeting with SEC Officials Memorandum from the Office of Chief Counsel, Division of Trading and Markets regarding a June 13, 2024 meeting with representatives of the Securities Industry and Financial Markets Association (SIFMA) Private Client Services Committee
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 25, 2024 meeting with BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a June 14, 2024 meeting with Investment Advisers Association (IAA)
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 16, 2024 Conference on Emerging Trends In Asset Management
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 12, 2024 meeting with representatives of the Investment Adviser Association (IAA)
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a June 4, 2024 meeting with Investment Adviser Association (IAA) Board of Governors
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a June 4, 2024 meeting with representatives and members of the Investment Adviser Association ("IAA")
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a June 10, 2024 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a June 4, 2024 meeting with Investment Adviser Association (IAA) Board of Governors
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding an April 26, 2024 meeting with representatives of Nationwide Mutual Insurance Company
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a May 28, 2024 meeting with Fidelity
Public Comment Profs. James Tierney, Chicago-Kent College of Law; Kyle Langvardt, University of Nebraska College of Law; Ben Edwards, University of Nevada, Las Vegas William S. Boyd School of Law
Public Comment United States Senators M. Michael Rounds, Mike Crapo, Martin Heinrich, and Mark Warner
Public Comment Barbara Comstock, Executive Director, American Consumer and Investor Institute

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-12-23
Release Number
34-97990
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