SEC Survey on Obligations of Broker-Dealers and Investment Advisers to Retail Customers (Fed. Reg. Version)

The SEC published in the Federal Register a request for assistance in determining whether to make new rules for broker-dealers and investment advisers when they provide personalized investment advice about securities to retail customers.

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See: 78 FR 14848.See also: SEC Request for Data on the Duties of Broker-Dealers and Investment Advisers and Investor and Industry Perspective on Broker-Dealers and Investment Advisers (2006).See generally: Lofchie's Guide to Broker-Dealer Regulation: Customers Chapter.