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Investment Adviser Codes of Ethics

SEC · final-rule · Published 2004-07-09 · Effective 2004-08-31 · 69 FR 41696

Document

Document number
04-15585
Federal Register citation
69 FR 41696
CFR reference
17 CFR 270
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2004-07-09
Effective date
2004-08-31
Docket
Release Nos. IA-2256, IC-26492

Abstract

The Securities and Exchange Commission is adopting a new rule and related rule amendments under the Investment Advisers Act of 1940 that require registered advisers to adopt codes of ethics. The codes of ethics must set forth standards of conduct expected of advisory personnel and address conflicts that arise from personal trading by advisory personnel. Among other things, the rule requires advisers' supervised persons to report their personal securities transactions, including transactions in any mutual fund managed by the adviser. The Commission is also adopting amendments to rule 17j-1 to conform certain provisions to the new rule. The rule and rule amendments are designed to promote compliance with fiduciary standards by advisers and their personnel.

Source

Authoritative
Federal Register document
Machine
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