Code of Federal Regulations · Section
§ 200.71 — Fiduciary Relationships
17 C.F.R. § 200.71
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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.
Authorizing Statute
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Applicability of other sections of this title11 U.S.C. § 901
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Securities and Exchange Commission15 U.S.C. § 78d
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Classes of securities under this subchapter15 U.S.C. § 77c
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Federal agency responsibilities44 U.S.C. § 3506
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Nondiscrimination under Federal grants and programs29 U.S.C. § 794