Text of Proposed SEC Reg Requiring Investment Advisers to Adopt a Code of Ethics (PDF)

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1/27/2004: Text of Proposed SEC Reg Requiring Investment Advisers to Adopt a Code of Ethics (PDF)

U.S. Securities and Exchange Commission [SEC]

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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