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Guide to SEC Proposal for Required Code of Ethics (PDF)
Foundation for Fiduciary StudiesLink to more items from this source
Jan. 16, 2004
4 pages. Excerpt: The SEC voted on January 14, 2004 to propose new rules (204A 1 and related rule amendments under the Investment Advisers Act of 1940) which would require registered investment advisers ('advisers') to adopt and enforce a code of ethics. The SEC proposal was prompted by the number of breaches of ethical and fiduciary conduct by investment advisers.

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