3235-AM35 201904 Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Regulation Best Interest

The Division is considering making a recommendation, jointly with the Division of Investment Management, that the Commission adopt rules to establish a standard of conduct for broker-dealers and natural persons who are associated persons of a broker-dealer when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer, as well as to implement related record-making and recordkeeping obligations.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No Independent agency 17 CFR 250.15l-1 17 CFR 240.17a-3(a)(25) 17 CFR 240.17a-4(e)(5) 15 U.S.C. 78c 15 U.S.C. 78j 15 U.S.C. 78o 15 U.S.C. 78q 15 U.S.C. 78w 15 U.S.C. 78mm No NPRM 05/09/2018 83 FR 21574 NPRM Comment Period End 08/07/2018 Final Action 09/00/2019 Undetermined None No No No Lourdes Gonzalez Assistant Chief Counsel, Sales Practices, Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-5580 gonzalezl@sec.gov 100 F St NE, Washington DC 20549