{"abstract":"The Securities and Exchange Commission is requesting data and other information, in particular quantitative data and economic analysis, relating to the benefits and costs that could result from various alternative approaches regarding the standards of conduct and other obligations of broker-dealers and investment advisers. We intend to use the comments and data we receive to inform our consideration of alternative standards of conduct for broker-dealers and investment advisers when providing personalized investment advice about securities to retail customers. We also will use this information to inform our consideration of potential harmonization of certain other aspects of the regulation of broker-dealers and investment advisers.","action":"Request for data and other information.","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"body_html_url":"https://www.federalregister.gov/documents/full_text/html/2013/03/07/2013-05222.html","cfr_references":[],"citation":"78 FR 14848","comment_url":null,"comments_close_on":"2013-07-05","correction_of":null,"corrections":[],"dates":"Comments should be received on or before July 5, 2013.","disposition_notes":null,"docket_ids":["Release No. 34-69013","IA-3558","File No. 4-606"],"dockets":[],"document_number":"2013-05222","effective_on":null,"end_page":14866,"executive_order_notes":null,"executive_order_number":null,"explanation":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2013/03/07/2013-05222.xml","html_url":"https://www.federalregister.gov/documents/2013/03/07/2013-05222/duties-of-brokers-dealers-and-investment-advisers","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/2013-05222?publication_date=2013-03-07","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2013-03-07/2013-05222/mods.xml","not_received_for_publication":null,"page_length":19,"page_views":{"count":1065,"last_updated":"2026-05-28 12:15:07 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2013-03-07/pdf/2013-05222.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2013-05222.pdf?1362577910","publication_date":"2013-03-07","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2013/03/07/2013-05222.txt","regulation_id_number_info":{},"regulation_id_numbers":[],"regulations_dot_gov_info":{"supporting_documents":[],"comments_url":"https://www.regulations.gov/docketBrowser?rpp=50&so=DESC&sb=postedDate&po=0&dct=PS&D=SEC-2013-0439","supporting_documents_count":0,"docket_id":"SEC-2013-0439","regulation_id_number":null,"title":"Duties of Brokers, Dealers, and Investment Advisers","checked_regulationsdotgov_at":"2013-05-26T05:00:28Z"},"regulations_dot_gov_url":null,"significant":null,"signing_date":null,"start_page":14848,"subtype":null,"title":"Duties of Brokers, Dealers, and Investment Advisers","toc_doc":"Duties of Brokers, Dealers, and Investment Advisers","toc_subject":null,"topics":[],"type":"Notice","volume":78}