An official website of the United States government
The .gov means it's official.
The site is secure.
View Rule
| View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
| SEC | RIN: 3235-AN00 | Publication ID: Fall 2021 |
| Title: Digital Engagement Practices for Broker-Dealers and Investment Advisers | |
|
Abstract:
The Commission requested comment on the use of digital engagement practices by financial services firms, including broker dealers and investment advisers. The Division of Trading and Markets and the Division of Investment Management are considering recommending that the Commission propose rules related to broker-dealer and investment adviser use of these practices, and certain other matters. |
|
| Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
| RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Long-Term Actions |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.) | |
| Legal Authority: 15 U.S.C. 78o(l) | |
|
Legal Deadline:
None |
|||||||||
Timetable:
|
| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
| Federalism: No | |
| Included in the Regulatory Plan: No | |
| RIN Data Printed in the FR: No | |
|
Agency Contact: Devin Ryan Assistant Director, Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-7654 Email: ryande@sec.gov |
|
|
Reginfo.gov
An official website of the U.S. General Services Administration and the Office of Management and Budget
Looking for U.S. government
information and services?
Visit USA.gov