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.
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.
