{"description":"Documents matching '\"digital engagement practices\" \"request for information\"' and from Securities and Exchange Commission","count":5,"total_pages":1,"results":[{"title":"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","type":"Notice","abstract":"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.","document_number":"2021-18901","html_url":"https://www.federalregister.gov/documents/2021/09/01/2021-18901/request-for-information-and-comments-on-broker-dealer-and-investment-adviser-digital-engagement","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2021-09-01/pdf/2021-18901.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2021-18901.pdf?1630413948","publication_date":"2021-09-01","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"ACTION: \n <span class=\"match\">Request for information</span> and comment. \n \n \n SUMMARY: \n \n 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 “<span class=\"match\">digital engagement practices</span>” 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 (\n e.g., \n websites, portals and"},{"title":"Exemption for Certain Investment Advisers Operating Through the Internet","type":"Rule","abstract":"The Securities and Exchange Commission (\"SEC\" or \"Commission\") is adopting amendments to the rule under the Investment Advisers Act of 1940 that exempts certain investment advisers that provide advisory services through the internet (\"internet investment advisers\") from the prohibition on Commission registration, as well as related amendments to Form ADV. The amendments are designed to modernize the rule's conditions to account for the evolution in technology and the investment advisory industry since the initial adoption of the rule in 2002.","document_number":"2024-06865","html_url":"https://www.federalregister.gov/documents/2024/04/09/2024-06865/exemption-for-certain-investment-advisers-operating-through-the-internet","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2024-04-09/pdf/2024-06865.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2024-06865.pdf?1712580314","publication_date":"2024-04-09","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"Internet, Investment Advisers Act Release No. 6354 (July 26, 2023) [88 FR 50076 (Aug. 1, 2023)] (“Proposing Release”). \n See also \n <span class=\"match\">Request for Information</span> and Comments on Broker-Dealer and Investment Adviser <span class=\"match\">Digital Engagement Practices</span>, Related Tools and Methods, and Regulatory Considerations and Potential Approaches, Exchange Act Release No. 92766 (Aug. 27, 2021) [86 FR 49067 (Sept. 1, 2021)] (a <span class=\"match\">request for information</span> and comments issued by the Commission in 2021 on the Internet Adviser Exemption, among other areas).\n \n \n \n \n 3 \n  The comment letters"},{"title":"Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers","type":"Proposed Rule","abstract":"The Securities and Exchange Commission (\"Commission\" or \"SEC\") is proposing new rules (\"proposed conflicts rules\") under the Securities Exchange Act of 1934 (\"Exchange Act\") and the Investment Advisers Act of 1940 (\"Advisers Act\") to eliminate, or neutralize the effect of, certain conflicts of interest associated with broker-dealers' or investment advisers' interactions with investors through these firms' use of technologies that optimize for, predict, guide, forecast, or direct investment-related behaviors or outcomes. The Commission is also proposing amendments to rules under the Exchange Act and Advisers Act that would require firms to make and maintain certain records in accordance with the proposed conflicts rules.","document_number":"2023-16377","html_url":"https://www.federalregister.gov/documents/2023/08/09/2023-16377/conflicts-of-interest-associated-with-the-use-of-predictive-data-analytics-by-broker-dealers-and","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2023-08-09/pdf/2023-16377.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2023-16377.pdf?1691498717","publication_date":"2023-08-09","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"whether the investor interaction places the firm's interests ahead of its investors' interests and, if so, eliminate, or neutralize the effect of, the conflicts of interest on investors. In addition, the Commission's 2021 <span class=\"match\">Request for Information</span> and Comments on Broker-Dealer and \n \n Investment Adviser <span class=\"match\">Digital Engagement Practices</span>, Related Tools and Methods, and Regulatory Considerations and Potential Approaches (“Request”) \n 90 \n \n solicited comments related to conflicts of interest, among other areas.\n 91 \n \n In response, the Commission received"},{"title":"Exemption for Certain Investment Advisers Operating Through the Internet","type":"Proposed Rule","abstract":"The Securities and Exchange Commission (\"SEC\" or \"Commission\") is proposing amendments to the rule under the Investment Advisers Act of 1940 that exempts certain investment advisers that provide advisory services through the internet (\"internet investment advisers\") from the prohibition on Commission registration, as well as related amendments to Form ADV. The proposed amendments are designed to modernize the rule's conditions to account for the evolution in technology and the investment advisory industry since the adoption of the rule.","document_number":"2023-16287","html_url":"https://www.federalregister.gov/documents/2023/08/01/2023-16287/exemption-for-certain-investment-advisers-operating-through-the-internet","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2023-08-01/pdf/2023-16287.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2023-16287.pdf?1690807539","publication_date":"2023-08-01","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":"Advisers Act by failing to furnish to the Commission copies of books and records that the firm was required to make, keep, and provide to representatives of the Commission pursuant to an examination).\n \n \n \n \n 40 \n  \n See \n <span class=\"match\">Request for Information</span> and Comments on Broker-Dealer and Investment Adviser <span class=\"match\">Digital Engagement Practices</span>, Related Tools and Methods, and Regulatory Considerations and Potential Approaches, Exchange Act Release No. 92766 (Aug. 27, 2021) [86 FR 49067 (Sept. 1, 2021)] (“2021 RFC”). The Commission received numerous comments in response"},{"title":"Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies","type":"Proposed Rule","abstract":"The Securities and Exchange Commission is proposing new rules under the Investment Advisers Act of 1940 (\"Advisers Act\") and the Investment Company Act of 1940 (\"Investment Company Act\") to require registered investment advisers (\"advisers\") and investment companies (\"funds\") to adopt and implement written cybersecurity policies and procedures reasonably designed to address cybersecurity risks. The Commission also is proposing a new rule and form under the Advisers Act to require advisers to report significant cybersecurity incidents affecting the adviser, or its fund or private fund clients, to the Commission. With respect to disclosure, the Commission is proposing amendments to various forms regarding the disclosure related to significant cybersecurity risks and cybersecurity incidents that affect advisers and funds and their clients and shareholders. Finally, we are proposing new recordkeeping requirements under the Advisers Act and Investment Company Act.","document_number":"2022-03145","html_url":"https://www.federalregister.gov/documents/2022/03/09/2022-03145/cybersecurity-risk-management-for-investment-advisers-registered-investment-companies-and-business","pdf_url":"https://www.govinfo.gov/content/pkg/FR-2022-03-09/pdf/2022-03145.pdf","public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2022-03145.pdf?1646747113","publication_date":"2022-03-09","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"excerpts":" Unless otherwise noted, the term “fund” means a registered investment company or a closed-end company that has elected to be treated as a business development company under the Investment Company Act (“BDC”).\n \n \n \n \n 3 \n  <span class=\"match\">Request for Information</span> and Comments on Broker-Dealer and Investment Adviser <span class=\"match\">Digital Engagement Practices</span>, 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, Investment Advisers Act Release"}]}