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

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 6
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 16, 2024 meeting with representatives of the European Banking Federation (EBF)
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a May 14, 2024 meeting with representatives of LSTA
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a May 13, 2024 meeting with representatives of Robinhood
Public Comment Robert Bishop, Associate Professor, Duke Law School, and Frank Partnoy, Adrian A. Kragen Professor of Law, UC Berkeley School of Law Berkeley Haas (Affiliated Faculty), International Institute of Law and Finance
Public Comment Daniel Winslow, President, New England Legal Foundation
Public Comment Barbara Comstock, Executive Director, American Consumer and Investor Institute
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a May 2, 2024 meeting with the Investment Adviser Association
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a May 1, 2024 meeting with the Institute for Portfolio Alternatives
Public Comment Brad Sherman, Member of Congress, Ranking Member, Subcommittee on Capital Markets and Bill Foster, Member of Congress, Ranking Member, Subcommittee on Financial Institutions and Monetary Policy
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an April 29, 2024 meeting with the Investment Company Institute ("ICI") and its members
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding an April 29, 2024 meeting with Investment Company Institute (ICI)
Public Comment Chris Mcentre
Public Comment Kelvin To, Founder and President, Data Boiler Technologies, LLC
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding an April 23, 2024 meeting with representatives of Panorama Financial Markets
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an April 22, 2024 meeting with Vanguard
Meeting with SEC Officials Memorandum from the Office of the Chair regarding an April 18, 2024 meeting with BlackRock, Inc.
Public Comment Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association
Public Comment Cristina Martin Firvida, Director, Office of the Investor Advocate
Public Comment Duane Thompson, Policy Consultant
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 28, 2024 meeting with Dalton State College Students
Public Comment Barbara Comstock, Executive Director, American Consumer and Investor Institute
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 a March 22, 2024 meeting with representatives of the Investment Company Institute
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a March 21, 2024 meeting with Alternative Credit Council
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a March 21, 2024 meeting with members of the Investment Company Institute ("ICI")
Public Comment Members of Congress, Marilyn Strickland, Wiley Nickel, Stacey E. Plaskett, Steven Horsford, Troy A. Carter, Sr., Sheila Cherfilus-McCormick
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 18, 2024 meeting with representatives of Ropes and Gray
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 15, 2024 conference call with Charles Schwab
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a March 4, 2024 meeting with SEC Investor Advisory Committee
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a March 11, 2024 meeting with representatives SIFMA

Last Reviewed or Updated: Dec. 18, 2025

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