Investor Advisory Committee Meeting, 49067 [2021-18908]

Download as PDF Federal Register / Vol. 86, No. 167 / Wednesday, September 1, 2021 / Notices SECURITIES AND EXCHANGE COMMISSION [Release Nos. 33–10968, 34–92783; File No. 265–28] Investor Advisory Committee Meeting Securities and Exchange Commission. ACTION: Notice of meeting. AGENCY: The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee. DATES: The meeting will be held on Thursday, September 9, 2021 from 10:00 a.m. until 3:30 p.m. (ET). Written statements should be received on or before September 8, 2021. ADDRESSES: The meeting will be conducted by remote means and/or at the Commission’s headquarters, 100 F St. NE, Washington, DC 20549. The meeting will be webcast on the Commission’s website at www.sec.gov. Written statements may be submitted by any of the following methods: SUMMARY: khammond on DSKJM1Z7X2PROD with NOTICES Electronic Statements D Use the Commission’s internet submission form (https://www.sec.gov/ rules/other.shtml); or D Send an email message to rulescomments@sec.gov. Please include File No. 265–28 on the subject line; or Paper Statements D Send paper statements to Vanessa A. Countryman, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–1090. All submissions should refer to File No. 265–28. This file number should be included on the subject line if email is used. To help us process and review your statement more efficiently, please use only one method. Statements also will be available for website viewing and printing in the Commission’s Public Reference Room, 100 F Street NE, Room 1503, Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. All statements received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: Marc Oorloff Sharma, Chief Counsel, VerDate Sep<11>2014 17:09 Aug 31, 2021 Jkt 253001 Office of the Investor Advocate, at (202) 551–3302, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. SUPPLEMENTARY INFORMATION: The meeting will be open to the public, except during that portion of the meeting reserved for an administrative work session during lunch. Persons needing special accommodations to take part because of a disability should notify the contact person listed in the section above entitled FOR FURTHER INFORMATION CONTACT. The agenda for the meeting includes: Welcome remarks; approval of previous meeting minutes; a panel discussion entitled ‘‘Reimagining Investor Protection in a Digital World: the Behavioral Design of Online Trading Platforms’’; a panel discussion regarding competition and regulatory reform at the PCAOB; a discussion of a recommendation regarding 10b5–1 plans; a discussion of a recommendation regarding SPACs; subcommittee reports; and a non-public administrative session. Dated: August 27, 2021. Vanessa A. Countryman, Secretary. [FR Doc. 2021–18908 Filed 8–31–21; 8:45 am] BILLING CODE P SECURITIES AND EXCHANGE COMMISSION [Release Nos. 34–92766; IA–5833; File No. S7–10–21] RIN 3235–AN00 Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice Securities and Exchange Commission. ACTION: Request for information and comment. AGENCY: The Securities and Exchange Commission (the ‘‘Commission’’ or the ‘‘SEC’’) is requesting information and public comment (‘‘Request’’) on matters related to: Broker-dealer and investment adviser use of ‘‘digital engagement practices’’ or ‘‘DEPs’’, including behavioral prompts, differential marketing, game-like features (commonly referred to as ‘‘gamification’’), and other design elements or features designed to engage SUMMARY: PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 49067 with retail investors on digital platforms (e.g., websites, portals and applications or ‘‘apps’’), as well as the analytical and technological tools and methods used in connection with these digital engagement practices; and, investment adviser use of technology to develop and provide investment advice. In addition to or in place of responses to questions in this release, retail investors seeking to comment on their experiences may want to submit a short Feedback Flyer. DATES: Comments should be received on or before October 1, 2021. ADDRESSES: Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission’s internet comment form (https://www.sec.gov/ rules/submitcomments.htm); or • Send an email to rule-comments@ sec.gov. Please include File No. S7–10– 21 on the subject line. Paper Comments • Send paper comments to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–1090. All submissions should refer to File Number S7–10–21. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method of submission. The Commission will post all comments on the Commission’s website (https:// www.sec.gov). Comments are also available for website viewing and printing in the Commission’s Public Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Operating conditions may limit access to the Commission’s public reference room. All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make publicly available. Retail investors seeking to comment on their experiences with online trading and investing platforms may want to submit a short Feedback Flyer, available at Appendix A. Studies, memoranda, or other substantive items may be added by the Commission or staff to the comment file during this Request. A notification of the inclusion in the comment file of any such materials will be made available E:\FR\FM\01SEN1.SGM 01SEN1

Agencies

[Federal Register Volume 86, Number 167 (Wednesday, September 1, 2021)]
[Notices]
[Page 49067]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-18908]



[[Page 49067]]

-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release Nos. 33-10968, 34-92783; File No. 265-28]


Investor Advisory Committee Meeting

AGENCY: Securities and Exchange Commission.

ACTION: Notice of meeting.

-----------------------------------------------------------------------

SUMMARY: The Securities and Exchange Commission Investor Advisory 
Committee, established pursuant to Section 911 of the Dodd-Frank Wall 
Street Reform and Consumer Protection Act of 2010, is providing notice 
that it will hold a public meeting. The public is invited to submit 
written statements to the Committee.

DATES: The meeting will be held on Thursday, September 9, 2021 from 
10:00 a.m. until 3:30 p.m. (ET). Written statements should be received 
on or before September 8, 2021.

ADDRESSES: The meeting will be conducted by remote means and/or at the 
Commission's headquarters, 100 F St. NE, Washington, DC 20549. The 
meeting will be webcast on the Commission's website at www.sec.gov. 
Written statements may be submitted by any of the following methods:

Electronic Statements

    [ssquf] Use the Commission's internet submission form (https://www.sec.gov/rules/other.shtml); or
    [ssquf] Send an email message to [email protected]. Please 
include File No. 265-28 on the subject line; or

Paper Statements

    [ssquf] Send paper statements to Vanessa A. Countryman, Secretary, 
Securities and Exchange Commission, 100 F Street NE, Washington, DC 
20549-1090.

All submissions should refer to File No. 265-28. This file number 
should be included on the subject line if email is used. To help us 
process and review your statement more efficiently, please use only one 
method.
    Statements also will be available for website viewing and printing 
in the Commission's Public Reference Room, 100 F Street NE, Room 1503, 
Washington, DC 20549, on official business days between the hours of 
10:00 a.m. and 3:00 p.m. All statements received will be posted without 
change. Persons submitting comments are cautioned that we do not redact 
or edit personal identifying information from comment submissions. You 
should submit only information that you wish to make available 
publicly.

FOR FURTHER INFORMATION CONTACT: Marc Oorloff Sharma, Chief Counsel, 
Office of the Investor Advocate, at (202) 551-3302, Securities and 
Exchange Commission, 100 F Street NE, Washington, DC 20549.

SUPPLEMENTARY INFORMATION: The meeting will be open to the public, 
except during that portion of the meeting reserved for an 
administrative work session during lunch. Persons needing special 
accommodations to take part because of a disability should notify the 
contact person listed in the section above entitled FOR FURTHER 
INFORMATION CONTACT. The agenda for the meeting includes: Welcome 
remarks; approval of previous meeting minutes; a panel discussion 
entitled ``Reimagining Investor Protection in a Digital World: the 
Behavioral Design of Online Trading Platforms''; a panel discussion 
regarding competition and regulatory reform at the PCAOB; a discussion 
of a recommendation regarding 10b5-1 plans; a discussion of a 
recommendation regarding SPACs; subcommittee reports; and a non-public 
administrative session.

    Dated: August 27, 2021.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2021-18908 Filed 8-31-21; 8:45 am]
BILLING CODE P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.