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SEC RIN: 3235-AM35 Publication ID: Fall 2018 
Title: ●Regulation Best Interest 

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.

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
Action Date FR Cite
NPRM  05/09/2018  83 FR 21574   
NPRM Comment Period End  08/07/2018 
Final Action  09/00/2019 
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