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 an October 20, 2023 meeting with Nationwide Insurance
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 19, 2023 meeting with the the Board of Directors of the Insured Retirement Institute (IRI)
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding a October 12, 2023 virtual meeting with representatives of LPL Financial (LPL)
Public Comment Jay H. Knight, Chair, Federal Regulation of Securities Committee, American Bar Association Business Law Section
Public Comment Michele Dibert
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a October 16, 2023 meeting with representatives of Edward Jones
Public Comment Amanda Hawley, Managing Director, General Counsel, Atria Wealth Solutions
Public Comment Eric Grossman, Chief Legal Officer and Chief Administrative Officer, Morgan Stanley
Public Comment James Angel, Associate Professor of Finance, Georgetown University
Public Comment Mari-Anne Pisarri, Pickard Djinis and Pisarri LLP
Public Comment Mark Quinn, Director of Regulatory Affairs, Cetera Financial Group
Public Comment Melissa MacGregor and Kevin Ehrlich, SIFMA and SIFMA AMG
Public Comment Stephen John Berger, Managing Director, Global Head of Government and Regulatory Policy, Citadel
Public Comment Susan Oberlies SVP, Corporate Counsel & Secretary, Lincoln Investment Companies
Public Comment Alaska Commissioner of Revenue Adam Crum, Arizona Treasurer Kimberly Yee, Indiana Treasurer Dan Elliott, Iowa Treasurer Roby Smith, Kansas Treasurer Steven Johnson, Louisiana Treasurer John Schroder, Nebraska Auditor Mike Foley, Nevada Controller Andy Matthews, North Carolina Treasurer Dale Folwell, Oklahoma Auditor & Inspector Cindy Byrd, Oklahoma Treasurer Todd Russ, Pennsylvania Treasurer Stacy Garrity, South Carolina Treasurer Curtis Loftis, South Dakota Treasuer Josh Haeder, Utah Treasurer Marlo Oaks, Wyoming Treasurer Curt Meier, State Financial Officers Foundation
Public Comment Alternative Investment Management Association
Public Comment Althea Brown, Managing Director, Chief Legal Officer, LPL Financial LLC
Public Comment Amanda Hindlian, President, ICE Fixed Income and Data Services, Intercontinental Exchange, Inc.
Public Comment Amber Allen, President and General Counsel, Fairview Cyber, LLC
Public Comment Americans for Financial Reform Education Fund, Consumer Federation of America, and Economic Policy Institute
Public Comment Anya Coverman, President & CEO, Institute for Portfolio Alternatives
Public Comment Barbara Comstock, Executive Director, American Consumer and Investor Institute
Public Comment Catherine L. Newell, General Counsel and Executive Vice President, Dimensional Fund Advisors LP
Public Comment Christopher A. Iacovella, President & Chief Executive Officer, American Securities Association
Public Comment Committee of Annuity Insurers
Public Comment Cynthia Jeffries, VP, Compliance, Commonwealth Financial Network
Public Comment Daniel M. Gallagher, Chief Legal and Corporate Affairs Officer, Robinhood Markets, Inc.
Public Comment Danielle Nicholson Smith, Vice President & Managing Legal Counsel, and Jonathan Siegel, Vice President & Managing Legal Counsel, T. Rowe Price
Public Comment David R. Burton, The Heritage Foundation
Public Comment David T. Bellaire, Executive Vice President & General Counsel, Financial Services Institute

Last Reviewed or Updated: Dec. 18, 2025

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