For Use with Clients*

New SEC Standards of Conduct Rules
Information & Resources for Dealing with Clients

Below you will find Q&As for use internally or with clients, as well as the publicly available IAA Standards of Practice & Fiduciary Duty in several formats. 

How Will the SEC’s New Standards of Conduct Rulemakings Affect Investment Advisers and their Clients?

Q&A: The Impact of the SEC’s Standards of Conduct Rulemaking Package on Investment Advisers

IAA Standards of Practice & Fiduciary Duty (web page)

IAA Standards of Practice & Fiduciary Duty (downloadable PDF)

IAA Standards of Practice & Fiduciary Duty (downloadable trifold brochure)