17 CFR 200.71

§ 200.71 Fiduciary relationships.

United States · 17 CFR — Commodity and Securities Exchanges · Status: effective

Cite this

Citation: 17 CFR 200.71, § 200.71 Fiduciary relationships, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/67919
Permanent ID: ys:prov:67919@1
SHA-256: 689adefc9780147bb8b4bda40f14b998da8d7df369001ff3721a8193dca140ed

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Full text

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.

Legislative history

This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.