Open Meeting Agenda
Wednesday, June 5, 2019
| 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, John Fahey, Daniel Fisher, Bradford Bartels, Geeta Dhingra |
The Commission will consider whether to adopt a new 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 to a retail customer of any securities transaction or investment strategy involving securities.
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 |
| Office: | Division of Investment Management, Division of Trading and Markets |
| Staff: | Dalia Blass, Sarah G. ten Siethoff, Sara Cortes, Jennifer Porter, Gena Lai, James McGinnis, Elizabeth Miller, Sirimal Mukerjee, Olawalé Oriola, Alexis Palascak, Benjamin Tecmire, Roberta Ufford - Investment Management Brett Redfearn, Lourdes Gonzalez, Emily Westerberg Russell, Alicia Goldin - Trading and Markets |
The Commission will consider whether to adopt new and amended rules and forms to require registered investment advisers and registered broker-dealers to provide a brief relationship summary to retail investors.
For further information, please contact Jennifer Porter in the Division of Investment Management at 202-551-6792 or Alicia Goldin in the Division of Trading and Markets at 202-551-5550.
| Item 3: | Standard of Conduct for Investment Advisers |
| Office: | Division of Investment Management |
| Staff: | Dalia Blass, Sarah G. ten Siethoff, Sara Cortes, Jennifer Songer, Matthew Cook, Olawalé Oriola |
The Commission will consider whether to publish a Commission interpretation of the standard of conduct for investment advisers.
For further information, please contact Jennifer Songer in the Division of Investment Management at 202-551-6792.
| Item 4: | Interpretation of "Solely Incidental" |
| Office: | Division of Investment Management |
| Staff: | Dalia Blass, Sarah G. ten Siethoff, Sara Cortes, Parisa Haghshenas, Benjamin Kalish, James McGinnis |
The Commission will consider whether to publish a Commission interpretation of the solely incidental prong of section 202(a)(11)(C) of the Investment Advisers Act of 1940.
For further information, please contact Parisa Haghshenas in the Division of Investment Management at 202-551-6825.