FOR INVESTMENT ADVISERS:
Regulation Of Investment Advisers By The U.S. Securities And Exchange Commission, March 2013 guidance: https://www.sec.gov/about/offices/oia/oia_investman/rplaze-042012.pdf
U.S. Securities And Exchange Commission Interpretation Regarding Standard Of Conduct For Investment Advisers: https://www.sec.gov/rules/interp/2019/ia-5248.pdf
Form ADV Part 2 Instructions: https://www.sec.gov/about/forms/formadv-part2.pdf
Form ADV Part 3 (Form CRS) Instructions: https://www.sec.gov/rules/final/2019/34-86032-appendix-b.pdf
SEC Examination Priorities For 2020: https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2020.pdf
FOR BROKER-DEALERS:
FINRA Examination Priorities for 2020: https://www.finra.org/rules-guidance/communications-firms/2020-risk-monitoring-and-examination-priorities-letter
Regulation BI Overview: https://www.finra.org/article/regulation-best-interest-%28reg-bi%29-overview
FOR PARTIES AND COUNSEL IN ARBITRATION MATTERS:
American Arbitration Association: https://www.adr.org
AAA Commercial Arbitration Rules: https://adr.org/sites/default/files/CommercialRules_Web.pdf
AAA Information On Consumer Arbitration: https://adr.org/consumer
AAA Consumer Arbitration Rules: https://adr.org/sites/default/files/Consumer_Rules_Web_1.pdf