PF Rules & Regulatory Actions

SECURITIES AND EXCHANGE COMMISSION17 CFR Part 270Release No. IC-20916; File No. S7-24-88RIN 3235-AD18Exemption for Certain Open-End Management Investment Companies to Impose Contingent Deferred Sales LoadsAGENCY:Securities ...
This is the 1994 SEC proposal regarding suitability requirements for RIAs. This proposal, known as IA-1406, was never finalized.

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