Conflict of Interest Proposed Rule

Regulation and Exemptions

Related Documents

Documents Supporting the Regulatory Impact Analysis

  • Classifying Portfolio Volatility
    Michael J. Brien and Constantijn W.A. Panis, 2013 | Full Report
  • Review of Study by Quantria Strategies, LLC
    Constantijn W.A. Panis, 2014 | Memorandum
  • Financial Asset Holdings of Households in the United States: 2014 Update
    Constantijn W.A. Panis and Michael J. Brien, 2014 | Full Report
  • Impacts of Conflicts of Interest in the Financial Services Industry
    Jeremy Burke, Angela A. Hung, Jack W. Clift, Steven Garber, and Joanne K. Yoong, 2014 | Full Report
  • Trust and Financial Advice
    Jeremy Burke and Angela A. Hung, 2015 | Full Report

Additional Research Papers released Aug. 26, 2015

  • Comments on a Review of a White House Report on Conflicted Investment Advice
    Constantijn W.A. Panis, 2015 | Report
  • Financial Advice Markets: a Cross-Country Comparison
    Jeremy Burke and Angela A. Hung, 2015 | Report
  • Effective Disclosures in Financial Decision Making
    Angela A. Hung, Min Gong, and Jeremy Burke, 2015 | Report

Additional Research Paper released Sept. 8, 2015

  • Do Financial Advisers Influence Savings Behavior?
    Jeremy Burke and Angela A. Hung, 2015 | Report