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| SEC | RIN: 3235-AL27 | Publication ID: Fall 2011 |
| Title: ●Personalized Investment Advice Standard of Conduct | |
| Abstract: The Division, along with the Division of Trading and Markets, is considering recommending the Commission propose investment adviser and broker-dealer standards of conduct pursuant to section 913 of the Dodd-Frank Act to make consistent the standards of conduct applying when retail customers receive personalized investment advice about securities from broker-dealers or investment advisers. | |
| Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
| RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Proposed Rule Stage |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: 17 CFR 275.211(g)-1(new) | |
| Legal Authority: 15 USC 80b-211(g) | |
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Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: None |
| Federalism: Undetermined | |
| Included in the Regulatory Plan: No | |
| RIN Data Printed in the FR: No | |
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Agency Contact: Melissa Roverts Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6722 Fax:202 772-2934 Email: rovertsm@sec.gov |
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