17 CFR § 200.71 Organization; Conduct and Ethics; and Information and Requests

§ 200.71 Fiduciary relationships.

Current through Aug 17, 2026 · Read all of Part 200

⚠ 4 pending changes to Part 200

A member should avoid service as a fiduciary if it would interfere or seem to interfere with the proper performance of his duties, or if the interests of those represented require investments in enterprises which are involved in questions to be determined by him. Such relationships would include trustees, executors, corporate directors, and the like.

← § 200.70 Business promotions.§ 200.72 Supervision of internal organization. →