Regulation 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 directly relevant to these releases. The left hand side of this page has the three proposing releases, the relevant authorizing provisions of the Securities Exchange Act and the Investment Advisers Act, as well as the text of the proposed rules.

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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Special Counsel
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As to Broker-Dealers

As to Investment Advisers