SEC just announced that it will hold an Open Meeting on 4/18 at 3:30 pm to discuss the following:
- whether to propose new and amended rules and forms to require registered investment advisers and registered broker-dealers to provide a brief relationship summary to retail investors.
- 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.
- whether to propose a Commission interpretation of the standard of conduct for investment advisers.
Additional information: https://www.sec.gov/news/openmeetings/2018/ssamtg041818.htm