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SEC RIN: 3235-AL27 Publication ID: Spring 2013 
Title: Personalized Investment Advice Standard of Conduct 
Abstract: The Commission issued 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) 
Legal Deadline:  None
Timetable:
Action Date FR Cite
ANPRM  03/07/2013  78 FR 14848 
ANPRM Comment Period End  07/05/2013   
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2013/34-69013.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Troy Stoddard
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5550
Email: stoddardt@sec.gov

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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