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SEC | RIN: 3235-AL27 | Publication ID: Spring 2014 |
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 all 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. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Long-Term Actions |
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 |