SEC’s New Rules on Use of Data Analytics by Broker-Dealers and Investment Advisers
Harvard Corporate Governance
AUGUST 26, 2023
Securities and Exchange Commission (SEC or Commission) proposed new rules for broker-dealers (Proposed Rule 15(1)-2) and investment advisers (Proposed Rule 211(h)(2)-4) on the use of predictive data analytics (PDA) and PDA-like technologies in any interactions with investors. [1] On July 26, 2023, the U.S. 2] (more…)
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