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SEC RIN: 3235-AN14 Publication ID: Spring 2024 
Title: Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers 
Abstract:

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. 

 
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: 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   
Legal Authority: 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)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  08/09/2023  88 FR 53960   
NPRM Comment Period End  10/10/2023 
Second NPRM  10/00/2024 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related RINs: Merged with 3235-AN00 
Agency Contact:
Sirimal Mukerjee
Senior Special Counsel, Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3340
Email: mukerjees@sec.gov