BD Best Interest; IA Fiduciary Guidance

Overview

The SEC has issued three releases that would expand the duties of broker-dealers and investment advisers to their customers. This topic page provides material relevant to all three of these releases, including much of the material cited in the releases themselves. The rule proposals set forth in the releases are closely related to the "DOL Fiduciary Rule," which is the subject of a separate topic page.

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Find

 
Find: 

SEC Releases

As to Broker-Dealers

Investment Advisers

 

Know

 
Know: 

Memorandum on the Releases