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ARTICLE · 22 DECEMBER 2023

SEC Regulatory Update: Fall 2023 Rulemaking Agenda Published

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The Office of Information and Regulatory Affairs recently released the semi-annual, Fall 2023 regulatory agenda ("Agenda"). The Agenda outlines the SEC Chairman's rulemaking priorities over the next 12 months.

United StatesCorporate/Commercial Law
Adam Bolter
Adam Bolter
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The Office of Information and Regulatory Affairs recently released the semi-annual, Fall 2023 regulatory agenda ("Agenda"). The Agenda outlines the SEC Chairman's rulemaking priorities over the next 12 months. The Agenda continues to reflect a focus on finalizing various regulatory initiatives previously proposed. Key initiatives for investment advisers and broker-dealers include, but are not limited to:

  • Digital engagement practices for investment advisers and broker-dealers. Adopting two different rules, one for investment advisers and one for broker-dealers – both of which address conflicts of interest related to the use of predictive data analytics, artificial intelligence, machine learning and similar technologies (often referred to as the "gamification of investing").

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