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View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML

SEC RIN: 3235-AL27 Publication ID: Fall 2015 
Title: Personalized Investment Advice Standard of Conduct 
Abstract:

Section 913 of the Dodd Frank Act grants the Commission authority under the Exchange Act and Advisers Act to adopt rules establishing a uniform fiduciary standard of conduct for broker-dealers and investment advisers when providing personalized investment advice about securities to retail customers. The Commission issued a public request for information to obtain further data and other information to assist it in determining whether or not to use the authority provided under section 913 of the Dodd Frank Act.  The Division is considering recommending, jointly with the Division of Trading and Markets, that the Commission propose a new rule for a uniform fiduciary standard of conduct for broker-dealers and investment advisers when providing personalized investment advice about securities to retail customers.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously 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 U.S.C. 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 
NPRM  10/00/2016 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/other/2013/34-69013.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Emily Russell
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5500

Holly Hunter-Ceci
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6869
Email: hunter-cecih@sec.gov

 
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