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®: CRE Regulatory Action of the Week

SEC Seeks Comments on Standards of Conduct for Broker-Dealers and Investment Advisers
The Securities and Exchange Commission is requesting data and other information, in particular quantitative data and economic analysis, relating to the benefits and costs that could result from various alternative approaches regarding the standards of conduct and other obligations of broker-dealers and investment advisers. The SEC intends to use the comments and data it receives to inform its consideration of alternative standards of conduct for broker-dealers and investment advisers when providing personalized investment advice about securities to retail customers. The SEC will also use this information to inform its consideration of potential harmonization of certain other aspects of the regulation of broker-dealers and investment advisers. Comments should be received by the SEC on or before July 5, 2013.

  • Click here to read the SEC's Federal Register notice requesting data and information