Home » Blog - Page 40

This is for all main blog posts.

SEC Study on Enhancing Investment Adviser Examinations Includes Possible Creation of SRO for Advisers

On January 19, 2011, the SEC submitted to Congress the much-anticipated Study on Enhancing Investment Adviser Examinations, as required by Section 914 of the Dodd-Frank Act. The Study gives Congress three options for improving the SEC’s examination program to address … Read More

1 37 38 39 40 41