Securities and Exchange Commission September 1, 2021 – Federal Register Recent Federal Regulation Documents
Results 1 - 3 of 3
Investor Advisory Committee Meeting
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.
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
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 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.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
