Asset management partner Joel Wattenbarger and counsel Jamie McGinnis published an article in the December 2023 issue of The Investment Lawyer regarding the SEC’s July 2023 proposal that would, for the first time, regulate the use of “predictive data analytics” by investment advisers and broker-dealers.
To learn more about the proposal – including the regulatory background that led to the proposal, the proposed scope of the rules, and issues raised by the proposing release – see here.
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