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SEC RIN: 3235-AM36 Publication ID: Fall 2018 
Title: ●Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation 
Abstract:

The Commission published for comment a proposed interpretation of the standard of conduct for investment advisers under the Advisers Act of 1940. The Division is considering recommending that the Commission adopt the interpretation.

 
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: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C 80b-6(1)    15 U.S.C 80b-6(1)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  05/09/2018  83 FR 21203   
NPRM Comment Period End  08/07/2018 
Final Action  09/00/2019 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Related RINs: Split from 3235-AL27, Split from 3235-AM35 
Agency Contact:
Mike Neus
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:212 336-5561
Email: neusmi@sec.gov