RTD Financial Advisors
Retirement Plan Consultants
Loren D. Stark Company
Nicholas Pension Consultants
Retirement Industry Trust Association (RITA)
Hochheiser Deutsch & Co, Inc.
Pension Rights Center
Kentucky Trust Company
Farmer & Betts, Inc.
Plumbers Local Union No. 1 Benefit Funds
EPIC Retirement Plan Services
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|Text of Proposed SEC Reg Requiring Investment Advisers to Adopt a Code of Ethics (PDF)|
U.S. Securities and Exchange Commission [SEC]
Jan. 27, 2004
18 pages. Excerpt: The Commission is proposing for comment a new rule and related rule amendments under the Investment Advisers Act of 1940 that would require registered advisers to adopt codes of ethics. The codes of ethics would set forth standards of conduct expected of advisory personnel, safeguard material nonpublic information about client transactions, and address conflicts that arise from personal trading by advisory personnel.
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