Open Meeting Agenda
Wednesday, April 18, 2018
| Item 1: | Regulation Best Interest — Standard of Conduct for Broker-Dealers |
| Office: | Division of Trading and Markets |
| Staff: | Brett Redfearn, Lourdes Gonzalez, Emily Westerberg Russell, Alicia Goldin, Bradford Bartels, Geeta Dhingra, Stacy Puente |
The Commission will consider whether to propose a rule to establish a standard of conduct for broker-dealers and natural persons who are associated persons of a broker-dealer when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer.
For further information, please contact Emily Westerberg Russell or Lourdes Gonzalez in the Division of Trading and Markets at 202-551-5550.
| Item 2: | Form CRS Relationship Summary; Required Disclosures in Retail Communications and Restrictions on the use of Certain Names or Titles |
| Office: | Division of Investment Management, Division of Trading and Markets |
| Staff: | Dalia Blass, Douglas Scheidt, Sarah G. ten Siethoff, Sara Cortes, Holly Hunter-Ceci, Parisa Haghshenas, Jennifer Porter, Benjamin Kalish, Gena Lai, Elizabeth Miller, Emily Rowland, Jennifer Songer - Investment Management Brett Redfearn, Lourdes Gonzalez, Emily Westerberg Russell, Alicia Goldin -Trading and Markets |
The Commission will consider whether to propose new and amended rules and forms to require registered broker-dealers and registered investment advisers to provide a brief relationship summary to retail investors. The Commission also will consider whether to propose required disclosures in retail communications about broker-dealers, investment advisers and their financial professionals, and whether to propose new restrictions on the use of the term "adviser" or "advisor" by broker-dealers in specified circumstances.
For further information, please contact Jennifer Porter or Sara Cortes in the Division of Investment Management at 202-551-6792.
| Item 3: | Standard of Conduct for Investment Advisers |
| Office: | Division of Investment Management |
| Staff: | Sarah G. ten Siethoff, Sara Cortes, Jennifer Songer |
The Commission will consider whether to propose a Commission interpretation of the standard of conduct for investment advisers.
For further information, please contact Jennifer Songer or Sara Cortes in the Division of Investment Management at 202-551-6792.