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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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a March 6, 2024 meeting with representatives of Public
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a Match 11, 2024 meeting with representatives of ICI
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 11, 2024 meeting with representatives of Fidelity
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a March 5, 2024 meeting with representatives of Robinhood
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a March 7, 2024 meeting with representatives of Public
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a March 7, 2024 meeting with representatives of Public
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a February 29, 2024 meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 27, 2024 meeting with representatives of the Securities Industry and Financial Markets Association ("SIFMA") and member firms
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a February 28, 2024 meeting with representatives of the Schwab Corporation ("Schwab")
Public Comment Members of Congress, Ritchie Torres, Ann Wagner, Andy Barr, Henry Cuellar, Monica De La Cruz, Byron Donalds, Scott Fitzgerald, Mike Flood, Andrew R. Garbarino, Vicente Gonzalez, Erin Houchin, Michael V. Lawler, Barry Loudermilk, Dan Meuser, Alex X. Mooney, Wiley Nickel, Ralph Norman, Zach Nunn, John Rose, Roger Williams
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a February 26, 2024 meeting with representatives of SIFMA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a February 22, 2024 meeting with MFA
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a February 21, 2024 meeting with representatives from Charles Schwab
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 14, 2024 meeting with representatives of Paul Weiss
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 14, 2024 meeting with representatives of the Managed Funds Association ("MFA") and member firms
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a February 14, 2024 meeting with Managed Funds Association
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a February 13, 2024 meeting with representatives of the Consumer Federation of America
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 13, 2024 video conference with representatives of Schulte
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a February 13, 2024 meeting with representatives of Federated
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a February 13, 2024 meeting with representatives of Nasdaq
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a February 12, 2024 meeting with ICI
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 9, 2024 meeting with representatives of the Investment Company Institute ("ICI") and member firms
Public Comment Amaan Ali, Student of Law at National Law Institute University, Bhopal
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a February 8, 2024 meeting with BlackRock, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a February 8, 2024 meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding February 7, 2024 meeting with representatives of Vanguard
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a February 7, 2024 meeting with James Tierney
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a February 5, 2024 meeting with Fidelity
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a January 11, 2024 meeting with representatives of the Securities Industry and Financial Markets Association ("SIFMA")
Public Comment James Fallows Tierney, Assistant Professor, Chicago-Kent College of Law

Last Reviewed or Updated: Dec. 18, 2025

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