Standard of Conduct

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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 over 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.

Washington DC - U.S. Supreme Court

Standard of Conduct Information

DOL Fiduciary Rule

Federal Laws & Rules

State Laws & Rules

Tools & Resources

IRI's Standard of Conduct Working Group

IRI’s Standard of Conduct Working Group 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 Working Group, please contact any member of the IRI Regulatory Affairs Team.