3235-AN14 202410 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

The Division of Trading and Markets and the Division of Investment Management are considering recommending that the Commission re-propose rules related to broker-dealer and investment adviser conflicts in the use of predictive data analytics, artificial intelligence, machine learning, and similar technologies in connection with certain investor interactions. 

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Proposed Rule Stage Undetermined No 17 CFR 240.15l-2 17 CFR 240.17a-3 17 CFR 240.17a-4 17 CFR 275.211(h)(2)-4 17 CFR 275.204-2 15 U.S.C. 78j 15 U.S.C. 78q 15 U.S.C. 80b-4 15 U.S.C. 80b-11 15 U.S.C. 80b-11(a) 15 U.S.C. 80b-11(h) No NPRM 08/09/2023 88 FR 53960 NPRM Comment Period End 10/10/2023 Second NPRM 12/00/2024 YES Businesses Undetermined Undetermined Yes No 3235-AN00 Merged with Sirimal Mukerjee Senior Special Counsel, Division of Investment Management 3235 Securities and Exchange Commission SEC 202 551-3340 mukerjees@sec.gov 100 F Street NE, Washington DC 20549