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 Seth A. Miller, President Advocacy & Administration, General Counsel, Cambridge Investment Research Advisors, Inc.
Public Comment Seward & Kissel LLP
Public Comment Shawnna Hoffman, President, Guardrail Technologies Inc.
Public Comment Stephanie Nicolas, WilmerHale on behalf of a Group of Broker-Dealer Clients
Public Comment Stephen W. Hall, Legal Director and Securities Specialist, Better Markets, Inc.
Public Comment Stradley Ronon Stevens and & Young, LLP
Public Comment Susan Olson, General Counsel, and Sarah Bessin, Deputy General Counsel, Investment Company Institute
Public Comment Tim Rouse, Executive Director, SPARK Institute, Inc.
Public Comment Tom Merritt, Deputy General Counsel, Virtu Financial, Inc.
Public Comment William Galvin, Secretary of the Commonwealth, Commonwealth of Massachusetts
Public Comment Andrew Banducci, Senior Vice President, Retirement and Compensation Policy, The ERISA Industry Committee
Public Comment Don Rolfe, Senior Vice President & Senior Counsel, Nelson Lee, Senior Vice President & Senior Counsel, and Katie Gorham, Associate Counsel, The Capital Group Companies, Inc.
Public Comment Jonathan N. Santelli, Executive Vice President & General Counsel, Raymond James Financial, Inc.
Public Comment Kelvin To, Founder and President, Data Boiler Technologies, LLC
Public Comment Morningstar, Inc.
Public Comment Patrick M. Ryle, Assistant Professor, Bryson Cornelison, Isaac Lacle`, Ian Lazo, Jose Garcia, BBA Finance and Applied Economics, and Kieran Jackson, BS in Mathematics in Actuarial Science, Wright School of Business, Dalton State College
Public Comment Sergio Alberto Gramitto Ricci, Associate Professor of Law, UMKC School of Law, and Christina M. Sautter, Professor of Law, SMU Dedman School of Law
Public Comment Seth Rosenbloom, General Counsel, Joshua Rubin, Vice President, Legal, and Megan Fitzgerald, Director, Legal, Betterment LLC
Public Comment Edmund F. Murphy, III, President & CEO, Empower
Meeting with SEC Officials Memorandum from the Office Of Public Engagement regarding a October 5, 2023 virtual meeting with Committee on Capital Markets Regulation
Public Comment Mitch Ackles, President, Hedge Fund Association, President
Public Comment Bryon Holz, President, National Association of Insurance and Financial Advisors
Public Comment Nicole A. Elam, Esq., President & CEO, National Bankers Association
Public Comment Andrew N. Vollmer, Scholar with the Mercatus Center at George Mason University
Meeting with SEC Officials Memorandum from the Office Of the Chair regarding a September 29, 2023 meeting with representatives of the CFA Institute
Public Comment Public Citizen
Public Comment PK Jain
Meeting with SEC Officials Memorandum from the Office of Commissioner Caroline Crenshaw regarding a September 25, 2023 meeting with representatives of the Committee on Capital Markets Regulation
Public Comment Ann Wagner, Chairman, Subcommittee on Capital Markets, House Committee on Financial Services; French Hill, Chairman, Subcommittee on Digital Assets, Financial Technology and Inclusion, House Committee on Financial Services; M. Michael Rounds, Ranking Member, Subcommittee on Securities, Insurance, and Investment, Senate Banking Committee; Bill Hagerty, United States Senator; Andy Barr, Chairman, Subcommittee on Financial Institutions and Monetary Policy, House Committee on Financial Services; Bill Huizenga, Chairman, Subcommittee on Oversight & Investigations, House Committee on Financial Services; Blaine Luetkemeyer, Chairman, Subcommittee on National Security, Illicit Finance, and International Financial Institutions, House Committee on Financial Services; Frank Lucas, Member of Congress; Dan Meuser, Member of Congress; William Timmons, Member of Congress; Mike Flood, Member of Congress; Zach Nunn, Member of Congress; Scott Fitzgerald, Member of Congress; Young Kim, Member of Congress; Byron Donalds, Member of Congress; John Rose, Member of Congress; Bryan Steil, Member of Congress; Barry Loudermilk, Member of Congress; Monica De La Cruz, Member of Congress; Roger Williams, Member of Congress; Alex X. Mooney, Member of Congress
Public Comment Lynn Dudley, Senior Vice President, Global Retirement & Compensation Policy, American Benefits Council

Last Reviewed or Updated: Dec. 18, 2025

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