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SEC | RIN: 3235-AM35 | Publication ID: Fall 2018 |
Title: ●Regulation Best Interest | |
Abstract:
The Commission proposed 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. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: First time published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
EO 13771 Designation: Independent agency | |
CFR Citation: 17 CFR 250.15l-1 17 CFR 240.17a-3(a)(25) 17 CFR 240.17a-4(e)(5) | |
Legal Authority: 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 |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: None |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Agency Contact: Lourdes Gonzalez Assistant Chief Counsel, Sales Practices, Division of Trading and Markets Securities and Exchange Commission 100 F St NE, Washington, DC 20549 Phone:202 551-5580 Email: gonzalezl@sec.gov |