Regulation Best Interest and the Standards of Conduct for Securities Broker-Dealers and Investment Advisers

97 Pages Posted: 19 Dec 2019

Date Written: July 2019

Abstract

This paper analyzes the language and meaning of the Securities and Exchange Commission's "Regulation Best Interest" and related regulatory actions establishing standards of conduct for securities broker-dealers and investment advisers with respect to retail investors.

Keywords: Regulation Best Interest, Best Interest, Fiduciary, Broker, Broker-Dealer, Investment Adviser, SEC, Securities and Exchange Commission, Standards of Conduct

Suggested Citation

Fein, Melanie L., Regulation Best Interest and the Standards of Conduct for Securities Broker-Dealers and Investment Advisers (July 2019). Available at SSRN: https://ssrn.com/abstract=3505649 or http://dx.doi.org/10.2139/ssrn.3505649

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