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Comment Letter On Sec’S Proposed Rule On Conflicts Of Interest Associated With The Use Of Predictive Data Analytics By Broker-Dealers And Investment Advisers, File Number S7-12-23, Sergio Alberto Gramitto Ricci, Christina M. Sautter
Comment Letter On Sec’S Proposed Rule On Conflicts Of Interest Associated With The Use Of Predictive Data Analytics By Broker-Dealers And Investment Advisers, File Number S7-12-23, Sergio Alberto Gramitto Ricci, Christina M. Sautter
Faculty Works
This comment letter responds to the Securities and Exchange Commission’s proposed rule Release Nos. 34-97990; IA-6353; File Number S7-12-23 - Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers. Our comments draw on our scholarship relating to laypersons’ participation in securities markets and the corporate sector as well as on the role of technology in corporate governance.
We express concerns that the SEC’s proposed regulation undermines individuals’ ability to access capital markets in an efficient and cost-effective manner. In the era of excessive concentration of equities ownership and power, often with negative societal …
Generative Ai And Finding The Law, Paul D. Callister
Generative Ai And Finding The Law, Paul D. Callister
Faculty Works
Legal information science requires, among other things, principles and theories. The article states five principles or considerations that any discussion of generative AI large language models and their role in finding the law must include. The article concludes that law librarianship will increasingly become legal information science and require new paradigms. In addition to the five principles, the article applies ecological holistic media theory to understand the relationship of the legal community’s cognitive authority, institutions, techné (technology, medium and method), geopolitical factors, and the past and future to understand the changes in this information milieu. The article also explains …