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Standards of Conduct under ERISA, the Exchange Act, and the Advisers Act (Part 2 of 2) (PDF)
Groom Law Group via The Investment Lawyer 
[Guidance Overview] Apr. 29, 2013 "This [article] addresses the standard of conduct applicable to ERISA fiduciaries, including BDs and RIAs who are fiduciaries pursuant to the functional definition found in section 3(21) of ERISA or designated as fiduciaries pursuant to sections 405(c)(1)(B) and 3(38) of ERISA ..., and how that standard compares to the standards of conduct under the Exchange Act and Advisers Act." |
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