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| SEC | RIN: 3235-AL27 | Publication ID: 2012 |
| Title: Personalized Investment Advice Standard of Conduct | |
| Abstract: The Division, along with the Division of Trading and Markets, is considering recommending that the Commission issue a public request for information to obtain data specific to the provision of personalized investment advice to retail customers by investment advisers and broker-dealers. | |
| Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
| RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Prerule 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: Sarah Buescher Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5192 Email: bueschers@sec.gov |
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