United States of America: Consultation opened on Broker-Dealer and Investment Adviser Digital Engagement Practices
Description
Consultation opened on Broker-Dealer and Investment Adviser Digital Engagement Practices
On 27 August 2021 the Securities and Exchange Commission ('SEC') opened a consultation requesting information and public comments on matters related to the use of digital engagement practices by broker-dealers and investment advisers. The SEC is iss…
Scope
Policy Area
Design and testing standards
Policy Instrument
Performance monitoring requirement
Regulated Economic Activity
other service provider
Implementation Level
national
Government Branch
executive
Government Body
other regulatory body