sec request for comment gamification

Recently, the SEC published a report titled "Staff Report on Equity and Options Market Structure Conditions in Early 2021" (the report). The US Securities and Exchange Commission (SEC) recently published a request for information and comment on how broker-dealers and investment advisers use digital engagement practices (DEPs) — behavioral prompts, differential marketing, "gamification," and other design elements and features that firms use to engage with retail investors through … The public comment period will remain open for 30 days following publication of the Request in the Federal Register. These tools include behavioral prompts, differential marketing, game-like features (commonly referred to as gamification), … BI. Opinion: The SEC’s Regulatory Agenda Could Imperil Industry Growth and Innovation. The US Securities and Exchange Commission on Friday issued a request for comment on the digital practices used by online platforms such as Robinhood to keep customers trading. The SEC recently solicited comments regarding broker-dealer and investment adviser “digital engagement practices” (DEPs), features commonly referred to as the “gamification” of trading. By reviewing the comments from firms and investors, the SEC seeks to assess if regulatory actions may be … Opinion: The SEC’s Regulatory Agenda Could Imperil Industry Growth and Innovation. The Securities and Exchange Commission (SEC) has issued a request for information and public comments on investment advisors’ and broker-dealers’ use of digital engagement methods. The SEC recently solicited comments on the “digital engagement practices” (DEPs) of broker-dealers and investment advisors, characteristics commonly referred to as “gamification” of trading. SEC requests public comment on digital brokers and robo advisors. “Today’s SEC … The report lists nine specific gamification tactics used on various digital platforms. The Securities and Exchange Commission (SEC) on Monday released a report stating that new stock-trading apps that operate like games may lead investors to trade more than they would have if the trading was in a traditional format. SEC Seeks Comment on Digital Customer Engagement Practices — Including “Gamification” — and on Use of Technology to Provide Investment Advice. The public comment period will remain open for 30 days following publication of the Request in the Federal Register. The SEC is concerned that broker-dealers’ use of DEPs may be leading investors to trade more often or take greater risks than they otherwise would. The RFI includes … The comment period ends on October 1. Requests by the SEC for public comment are often made as a preamble to new regulations. We'd love to hear how you use these tools & what you'd like to see @SECGov. Gary Gensler, Chairman of the U.S. Securities and Exchange Commission. Start Preamble AGENCY: Securities and Exchange Commission. In late August, the SEC announced it would seek information and public comment on the use of DEPs by financial entities like mobile investment apps […] Dec. 20, 2021 3:19 pm ET. See Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice, Securities Exchange Act Release No. SEC seeks comments on trading app gamification, other tools. The SEC reports that it is looking into the methods by which brokerage firms are using digital tools designed to appeal to their investors’ … Press Release. The GameStop saga continues to play out nearly six months later, with the SEC and other regulators looking at possible enforcement actions. An exhaustive and wide-ranging (91 sets of questions!) The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the use of digital engagement practices by broker-dealers and investment advisers. On August 27, 2021, the SEC issued a request for information and public comment on the use of DEPs to determine how BDs and investment advisers use them. An SEC request for information and comment on the use of digital engagement practices by broker-dealers and investment advisers was published in the Federal Register.. As previously covered, the SEC is specifically seeking information on (i) behavioral prompts, (ii) differential marketing, (iii) gamification (i.e., the inclusion of game-like characteristics), (iv) … (Melissa Lyttle/Bloomberg) Dec. 20, 2021 3:19 pm ET. | Carlton Fields. SEC steps up research into brokers' 'gamification' of trades, Chair Gary Gensler says Published Fri, Aug 27 2021 12:30 PM EDT Updated Fri, Aug 27 2021 3:13 PM EDT Thomas Franck @tomwfranck The US Securities and Exchange Commission (SEC) recently published a request for information and comment on how broker-dealers and investment advisers use digital engagement practices (DEPs) — behavioral prompts, differential marketing, "gamification," and other design elements and features that firms use to engage with Fortune. SEC Chair, Investor Advocates Sharpen Criticism of ‘Gamification’ in Online Trading. In August, the SEC put out a request for comment on the use of digital engagement practices such as behavioral prompts, differential marketing, game-like features or gamification, and other features designed to engage retail investors, as reported. The practices include differential marketing, behavioral prompts, gamification, other elements and features designed to engage with investors on digital platforms, and analytical and … There will be proposed rules and requests for public comment in the coming months. The SEC primarily reviewed activity related to GameStop Corp, also … On August 27, 2021, the SEC requested information and public comment on the use of digital engagement practices (DEPs) by broker-dealers and investment advisers. On August 27, 2021, the SEC issued a press release “requesting information and public comment on matters related to the use of digital engagement practices by broker-dealers and investment advisers.”. The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the use of digital engagement practices by broker-dealers and investment advisers. On June 11, 2021, the White House Office of Information and Regulatory Affairs released a Unified Agenda of Regulatory and Deregulatory Actions.The report contains the latest official list of the SEC’s regulatory rulemakings, including the proposed items the agency will undertake in the near future.The rules are categorized by their stage (pre-rule, proposed rule … 2021-167. Digital engagement tactics include differentiated marketing, behavioral prompts, gamification, and other components and features aimed to connect with investors on … The comment deadline will be 30 days from the date of the publication of the request for comment in the Federal Register. The Securities and Exchange Commission (“SEC”) has just posted a “ request for information and comments ” seeking information concerning the “digital engagement practices” that are used by online and app based brokers. Securities and Exchange Commission Request issued on August 27 seeks information and public comment on two broad topics: 1. The SEC issued a request for information and comment on the use of digital engagement practices ("DEPs") by broker-dealers and investment advisers. By. We've just put out a request for comment on digital engagement practices, like gamification & robo-advising. The SEC issued a request for information and comment on the use of digital engagement practices ("DEPs") by broker-dealers and investment advisers. The Securities and Exchange Commission has announced that it is requesting information and public comment on matters related to the use of digital engagement practices by broker-dealers and investment advisers. The SEC has requested the public’s opinion on the “gamification” of stock trading, amid rising concerns that some online apps. Gary Gensler, chairman of the U.S. Securities and Exchange Commission. In light of the growing popularity of digital investing platforms and increased scrutiny of these platforms by Congress, the SEC has released a broad request for information and public comment (RFI) on all matters related to the use of digital engagement practices and analytical and technological tools by broker-dealers and investment advisers.. SEC Requests Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices. The SEC outlined some concerns in a recent Request for Comment on digital platforms using nudges. August 31, 2021. Friday, October 15, 2021. SEC REQUESTS COMMENTS ON “GAMIFICATION” On August 27, the Securities and Exchange Commission (“SEC”) issued a broad request for information and comments on “gamification” in financial-market user interfaces, including artificial… 08.18.2021 | by: Thomas K. Potter III. The Request will facilitate the Commission’s assessment of existing regulations and consideration of whether regulatory action may be needed to further the Commission’s mission. The SEC wants to take a closer look at how broker-dealers and RIAs use digital tools to engage investors. John Taft, Baird. The U.S. Securities and Exchange Commission's 30-day deadline on its recent request for public comments on the so-called gamification of trading is not … The Request will facilitate the Commission’s assessment of existing regulations and consideration of whether regulatory action may be needed to further the Commission’s mission. “SEC Chair Gensler is right to scrutinize the gamification of trading, payment for order flow, and the negative impact these practices can have on America’s retail investors,” said ASA CEO Chris Iacovella.. “We support the request for further information to help the SEC determine whether regulatory action is warranted.” The public comment period will remain open for 30 days following publication of the Request in the Federal Register. Moving from the pre-rule stage to a long-term action item is digital engagement practices for broker-dealers and investment advisors – i.e., gamification. On August 27, 2021, the SEC issued a request for information and public comment on the use of DEPs to determine how BDs and investment advisers use them. SEC Eyes Data Collection Conflicts in New Comment Request. The Request will facilitate the Commission’s assessment of existing regulations and consideration of whether regulatory action may be needed to further the Commission’s mission. SEC Consults on Gamification. By. February 13, 2022 12:54 PM ... We’ve just put out a request for comment on digital engagement practices, like gamification & robo-advising. Gensler Targets Broker ‘Gamification’ After Trading Tumult Biden’s SEC pick also pledges to review payment for order flow Recent market volatility will continue to … In light of the growing popularity of digital investing platforms and increased scrutiny of these platforms by Congress, the SEC has released a broad request for information and public comment (RFI) on all matters related to the use of digital engagement practices and analytical and technological tools by broker-dealers and investment advisers.. John Taft, Baird. Gamification The request will help the SEC assess existing regulations and help it determine if regulatory action may be needed to further the Commission’s goals. Washington, D.C., October 1, 2021 – SIFMA today submitted a letter to the U.S. Securities and Exchange Commission (SEC) in response to the SEC’s ‘Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and … 400 Questions the SEC Wants Brokers and Wealth Managers to Answer. The Securities and Exchange Commission announced that it is requesting information and public comment on matters related to the use of digital engagement practices by broker-dealers and investment advisers. DEPs include items such as behavioral prompts, differential marketing, gamification features and other elements or features designed to engage retail … The term DEP includes (i) behavioral prompts, (ii) differential marketing, (iii) gamification, which is the inclusion of game-like characteristics, (iv) features to promote retail investors' engagement and (v) related data … These DEPs, like the so-called “gamification” of stock trading offered by FinTech disruptors, caught the SEC’s attention during the “meme stocks” craze earlier this year that saw the value of previously moribund stocks like GameStop and AMC Entertainment Holdings skyrocket, then plunge.. Gamification describes a series of tools used by platforms to engage … “There are valid concerns that gamification might incite overtrading or trading in inappropriate assets,” says Shane Swanson. Robo Advice & Gamification . We are considering publishing a Regulatory Notice seeking additional information on the use and impacts of gamification or, alternatively, supporting any SEC request for comment on these developments. While Gensler’s comments lacked specifics, analysts noted that his comments clearly indicated the direction he was taking the SEC on these issues. On August 27, the SEC announced a request for information and public comments regarding the use of digital engagement practices by broker-dealers and investment advisers, such as behavioral prompts, differential marketing, game-like features (gamification), and other design elements … The RFI includes … SUMMARY: The Securities and Exchange Commission (the “Commission” or the “SEC”) is requesting information and public comment (“Request”) on matters related to: Broker-dealer and investment adviser use of “digital engagement practices” or … Securities Fintech Federal Register Agency Rule-Making & Guidance SEC. In light of the growing popularity of digital investing platforms and increased scrutiny of these platforms by Congress, the SEC has released a broad request for information and public comment (RFI) on all matters related to the use of digital engagement practices and analytical and technological tools by broker-dealers and investment advisers.. The request follows the GameStop trading event in January 2021, where game … The RFI includes … Capitol Report SEC wants input on new rules governing ‘gamification’ in online trading apps Last Updated: Sept. 4, 2021 at 9:25 a.m. … SEC Investor Advocate on Gamification - May Expose Flaw in Reg. These themes are highlighted in Chair Gensler’s testimony before Congress and the SEC’s Request for Information and Comment on digital engagement practices. The United States Securities and Exchange Commission (SEC) today announced that it is requesting information and public comment on matters related to the use of digital engagement practices by broker-dealers and investment advisers.. The US Securities and Exchange Commission (SEC) issued a Request for Comment on Friday, 27 August on the digital engagement practices (DEP) of brokers and investment advisors to understand what conflicts of interest may … The Securities and Exchange Commission (Commission) is requesting information and public comment (the Request) on matters related to broker-dealers’ and investment advisers’ use of digital engagement practices. Under the gamification category, the SEC is considering seeking public comment on potential rules gamification, behavioral prompts, predictive analytics, and differential marketing. By. In August, the SEC put out a request for comment on the use of digital engagement practices such as behavioral prompts, differential marketing, game-like features or gamification, and other features designed to engage retail investors, as reported. The request follows the GameStop trading event in January 2021, where the gamelike features on certain trading apps came under scrutiny following a surge in trading … Rick Fleming, the longtime director of the Office of the Investor Advocate at the Securities and Exchange Commission (SEC), said in a speech Wednesday that so-called “gamification” platforms—ones like Robinhood designed to make stock trading more easily accessible and exciting—“expose what may be a significant flaw in Reg BI.” Fleming advised … The regulator is looking into behavioral manipulation and gamification, and asking commenters to help it "develop a better understanding of the market practices.”. On August 27, the Securities and Exchange Commission (“SEC”) issued a broad request for information and comments on “gamification” in financial-market user interfaces, including artificial intelligence and machine learning, among others. It is not difficult to see why legislators may question Chair Gensler’s commitment to Reg. The SEC could pursue new regulations after reviewing the comments. The SEC asked for inputs on the use of behavioral prompts, differential marketing, game-like features or gamification, and other design elements or features aimed at engaging retail investors on digital platforms, such as websites, portals and applications, as reported. Recent US SEC briefing on gamification. SEC Alert! Washington, D.C. – Stephen Hall, Legal Director and Securities Specialist for Better Markets, issued the following statement on the filing of a comment letter to the Securities and Exchange Commission (SEC) in response to their Request for Information (RFI) on digital engagement practices (DEPs) and the gamification of investing through online trading platforms and mobile … The SEC recently solicited comments regarding broker-dealer and investment adviser “digital engagement practices” (DEPs), features commonly referred to as the “gamification” of trading. Morningstar submitted a comment letter suggesting how to specifically address certain types of nudges. Retail investors can comment on their experiences by going on the SEC website and fill out the feedback flyer. The Securities and Exchange Commission said Friday it is stepping up its inquiry into so-called gamification and behavioral prompts used by online brokerages and investment advisors to prod people to trade more stocks and other securities. The US Securities and Exchange Commission (SEC) issued a Request for Comment on Friday, 27 August on the digital engagement practices (DEP) of brokers and investment advisors to understand what conflicts of interest may …

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