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SEC RIN: 3235-AN00 Publication ID: Spring 2023 
Title: Prohibition of Conflicted Practices for Broker-Dealers That Use Certain Covered Technologies  

The Division is considering recommending that the Commission propose rules related to broker-dealer conflicts in the use of predictive data analytics, artificial intelligence, machine learning, and similar technologies in connection with certain investor interactions.

Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
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
Action Date FR Cite
ANPRM  09/01/2021  86 FR 49067   
ANPRM Comment Period End  10/01/2021 
NPRM  10/00/2023 
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