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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 |
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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 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 Holly Hunter-Ceci Division of Investment Management Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-6825 Email: hunter-cecih@sec.gov |