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| View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
| SEC | RIN: 3235-AK36 | Publication ID: Spring 2011 |
| Title: Investment Adviser and Broker-Dealer Harmonization | |
| Abstract: The Commission is withdrawing this rulemaking because the Dodd-Frank Act directed the Commission to evaluate legal or regulatory gaps or overlapping standards in the protection of retail customers relating to the standards of care for providing personalized investment advice to retail customers. The Division is considering recommending action to the Commission based upon this study. | |
| Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
| RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Completed Actions |
| Major: Undetermined | Unfunded Mandates: No |
| CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.) | |
| Legal Authority: Not Yet Determined | |
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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 |
| Included in the Regulatory Plan: No | |
| RIN Data Printed in the FR: No | |
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Agency Contact: Daniel Seth Kahl Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6730 Email: kahld@sec.gov |
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