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

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Steven Quirk
Public Comment Travis L. Johnson, Associate Professor of Finance, The University of Texas at Austin, and S.P. Kothari, Gordon Y Billard Professor of Accounting and Finance, MIT Sloan School of Management
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a December 28, 2023 meeting with Paul Weiss
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a December 29, 2023 meeting with James Tierney, Kyle Langvardt, and Benjamin Edwards
Meeting with SEC Officials Memorandum from the Division of Economic and Risk Analysis regarding a December 29, 2023 meeting with John Campbell
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an October 11, 2023 meeting with Independent Directors Council, Governing Council
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a December 20, 2023 meeting with Fidelity
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 19, 2023 meeting with representatives of the Vanguard Group, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a December 19, 2023 meeting with Panorama Financial Markets Advisory
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 15, 2023 meeting with representatives of The Vanguard Group, Inc.
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a December 15, 2023 meeting with representatives of the from Paul, Weiss, Rifkind, Wharton & Garrison LLP
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a December 7, 2023 meeting with Federal Regulation of Securities Committee, American Bar Association Business Law Section
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a December 7, 2023 meeting with Fidelity
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a December 6, 2023 meeting with representatives of Edward Jones
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a December 5, 2023 meeting with representatives of Public Citizen
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a December 4, 2023 meeting with representatives of the IAC Executive Committee
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a meeting with representatives of Standards Board for Alternative Investments ("SBAI")
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a December 1, 2023 meeting with representatives of the Chamber of Commerce
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a November 30, 2023 meeting with representatives of SIFMA and SIFMA AG
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 30, 2023 meeting with Investment Advisers Association
Public Comment Ritchie Torres, Member of Congress
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 28, 2023 meeting with Paul Roye
Public Comment Noga Rosenthal
Public Comment State Representative Jeffrey Rosario Turco
Public Comment Lauren Lin, Chief Legal Officer, Wealthfront Corporation
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 8, 2023 meeting with Securities Industry and Financial Markets Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a November 3, 2023 meeting with representatives of the of the Alternative Investment Management Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a November 7, 2023 meeting with representatives of Charles Schwab
Meeting with SEC Officials Memorandum from the Office of Public Engagement regarding a November 6, 2023 meeting with Vanguard
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a November 3, 2023 meeting with Morningstar, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-12-23
Release Number
34-97990
Related Materials
How to submit comments