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

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 "DEPs', including behavioral prompts, differential marketing, game-like features (commonly referred to as "gamification'), and other design elements or features designed to engage with retail investors on digital platforms (e.g., websites, portals and applications or "apps'), as well as the analytical and technological tools and methods used in connection with these digital engagement practices; and, investment adviser use of technology to develop and provide investment advice. In addition to or in place of responses to questions in this release, retail investors seeking to comment on their experiences may want to submit a short Feedback Flyer.