Eden Nebel

Eden Nebel

Morgan Lewis

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SEC Proposes Sweeping Rules on Broker-Dealer and Investment Adviser Technology Use

The US Securities and Exchange Commission (SEC) proposed on July 26, 2023 new rules designed to address conflicts of interest from the use of predictive data analytics in “investor interactions” by broker-dealers and...more

8/2/2023  /  Broker-Dealer , Investment Adviser , Investment Advisers Act of 1940 , Proposed Rules , Securities and Exchange Commission (SEC) , Securities Exchange Act
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