About IRI's Standard of Conduct Work

Find all the information, analysis, and tools you need to track and engage on legislative and regulatory proposals with IRI's standards of conduct resource center. Our comprehensive library helps prepare your organization for any new laws or rules going into effect.

For nearly a decade, Congress and regulators at the federal and state levels have been working to formulate appropriate standards of conduct for financial services industry professionals. IRI and its members believe that financial professionals should be required to act in their clients' best interest, and IRI has been among the leaders of the financial services industry's efforts to advocate for adoption of a clear, consistent, and workable best interest standard that provides meaningful and effective consumer protections - without depriving Americans of access to valuable financial products and services.

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Federal Laws and Rules

Access information and resources related to standard of conduct rules proposed or adopted by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Department of Labor (DOL). Resources include comments and testimony provided by IRI in response to pending proposals.

State Laws and Rules

Get information and resources related to the best interest model regulation adopted by the National Association of Insurance Commissioners (NAIC) in 2020 and standard of conduct rules proposed or adopted by individual state insurance or securities policymakers. Resources include comments and testimony provided by IRI in response to pending proposals.

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Standard of Conduct Resources

IRI Tools and Resources

Find tools and resources developed by IRI and IRI law firm members regarding standard of conduct rules proposed or adopted by federal or state policymakers, including:

  • Rule summaries
  • Regulatory trackers
  • Comparison charts

Webinar
Series

Access recordings and slide decks from past sessions of IRI's Standard of Conduct Webinar Series. Launched in January 2020, this series provides members with timely information and analysis from industry experts on standard of conduct laws and rules as they are proposed and adopted at both the federal and state levels.

Task
Force

IRI’s Standard of Conduct Task Force guides our work on all federal and state standard of conduct activity (legislative, regulatory, and judicial). To learn more about IRI’s efforts and activities in this space or to join the Standard of Conduct Task Force, please contact any member of the IRI Regulatory Affairs Team: Jason Berkowitz, Emily Micale, Rebecca Plowman, Sarah Wood, and Tammy Turner.