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SEC Chair Gary Gensler argued that a recent SEC proposal requiring firms to eliminate conflicts arising from the use of predictive data analytics in investor interactions, is consistent with the existing standards of Regulation Best Interest.

In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.

In its latest Risk Alert, SEC staff provided an overview of its process for selecting investment advisers for examination, the likely focus of an examination and the types of information examiners may request.