Proposed Rules

This is the 1994 SEC proposal regarding suitability requirements for RIAs. This proposal, known as IA-1406, was never finalized.

SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 228, 229, 230, 239, 240, and 274[Release Nos. 33-7106; 34-34923; IC-20670; File No. S7-31-94]RIN 3235-AE14Disclosure Concerning Legal Proceedings Involving ...

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 240[Release No. 34-43084; File No. S7-16-00]RIN 3235-AH95Disclosure of Order Routing and Execution PracticesAGENCY:Disclosure of Order Routing and Execution PracticesACTION:Proposed ...