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
Public Comment Erika Moore, Vice President and Corporate Secrectary, Nasdaq, Inc.
Public Comment Gail C. Bernstein, General Counsel, and Sanjay Lamba, Associate General Counsel, Investment Advisers Association
Public Comment Gentry Collins, Chief Executive Officer, American Free Enterprise Chamber of Commerce
Public Comment Jai Ramaswamy, Chief Legal Officer and Scott Walker, Chief Compliance Officer, A.H. Capital Management, L.L.C.
Public Comment James Broughel and John Berlau, Competitive Enterprise Institute
Public Comment James Tierney, Assistant professor, Chicago-Kent College of Law, Kyle Langvardt, Assistant Professor of Law, University of Nebraska College of Law, and Benjamin P. Edwards Professor of Law, William S. Boyd School of Law, University of Nevada-Las Vegas
Public Comment Jason Berkowitz, Chief Legal & Regulatory Affairs Officer, and Emily Micale, Director, Federal Regulatory Affairs, Insured Retirement Institute
Public Comment Jennifer J. Schulp and Jack Solowey, Cato Institute Center for Monetary and Financial Alternatives
Public Comment Jennifer McAdam, Associate General Counsel, and Madison Ward, Counsel, American Council of Life Insurers
Public Comment Jennifer W. Han, Executive Vice President, Chief Counsel & Head of Global Regulatory Affairs, Managed Funds Association
Public Comment Joe Sweeney, President - Advice Wealth Management, Products and Service Delivery, Ameriprise Financial Services, LLC
Public Comment John C. Tolla, Executive Vice President, Chief Risk Officer, Axos Financial, Inc.
Public Comment John L, Thorton, Co-Chair, Hal S. Scott, President, and R. Glenn Hubbard Co-Chair, Committee on Capital Markets Regulation
Public Comment Jonathan Chiel, Fidelity Investments
Public Comment Joseph Brady, Executive Director, North American Securities Administrators Association, Inc.
Public Comment Justin Danhof, EVP, Corporate Governance, and Elijah Allen, Associate, Corporate Governance, Strive Asset Management, LLC
Public Comment Kevin R. Keller, CEO, CFP Board
Public Comment Kristen Malinconico, Director, Center for Capital Markets Competitiveness, U.S. Chamber of Commerce
Public Comment Kristin C. Lemkau, Chief Executive Officer, J.P. Morgan Wealth Management, and George C.W. Gatch, Chief Executive Officer, J.P. Morgan Asset Management
Public Comment Lisa Bertain, Interim General Counsel, Edward D. Jones & Co., L.P.
Public Comment Matthew Benchener, Managing Director, Personal Investor, The Vanguard Group, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a October 10, 2023 meeting with the Society for Corporate Governance
Public Comment Micah Hauptman, Director of Investor Protection, and Dylan Bruce, Financial Services Counsel, Consumer Federation of America
Public Comment Michael Underhill, President, ADISA
Public Comment Nicolas Morgan, Founder and President, Investor Choice Advocates Network (ICAN)
Public Comment Penny Lee, President and Chief Executive Officer, Financial Technology Association
Public Comment Peter Morgan, Managing Director, General Counsel & Corporate Secretary, The Charles Schwab Corporation
Public Comment Public Citizen
Public Comment Rebekah Goshorn Jurata, General Counsel, American Investment Council, and Elliot Ganz, Head of Advocacy & Co-Head Policy Group, Loan Syndications and Trading Association
Public Comment Ronald C. Parker, President & CEO, National Association of Securities Professionals

Last Reviewed or Updated: Dec. 18, 2025

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