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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. |
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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: 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 |
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Timetable:
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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 |