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Category Archives: SRO

Professor Suggests Using External Auditors to Increase Investment Adviser Examinations

Section 914 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) required the U.S. Securities and Exchange Commission (“SEC”) to review the frequency of investment adviser examinations and to consider various ways to increase the frequency of such examinations, such as forming an investment adviser self-regulatory organization (“SRO”).  As a result, Congress [...]

 
Posted by Bryan Hill
Friday, November 4, 2011
Labels: SEC, SRO

 

Examining the House Financial Services Committee’s Investment Adviser SRO Draft Bill

Prior to conducting Tuesday’s hearing on whether to form a self-regulatory organization (“SRO”) for investment advisers, the Chairman of the House Financial Services Committee, Rep. Spencer Bachus posted a draft bill on the Committee’s website.  The draft bill would form a self-regulatory organization for investment advisers under what would be known as the “Investment Adviser [...]

 
Posted by Bryan Hill
Friday, September 16, 2011
Labels: SEC, SRO

 

Congress Holds Hearing Concerning Investment Adviser SRO

Today, September 13, the House Committee on Financial Services conducted a hearing to discuss forming a self-regulatory organization (“SRO”) for investment advisers.  There were three oversight options discussed,  (1) having the U.S. Securities and Exchange Commission (“SEC”) charge a user fee to provide funds for more frequent regulatory examinations; (2) creating an independent SRO; and (3) [...]

 
Posted by Bryan Hill
Tuesday, September 13, 2011
Labels: SEC, SRO

 

Congress to Hold Hearing To Discuss Creating an SRO for Investment Advisers

On Tuesday, September 13 the House Committee on Financial Services will conduct a hearing to discuss forming a self-regulatory organization (“SRO”) for investment advisers.  The hearing will take place at 10 AM ET and is entitled “Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight.”  The Committee has already posted [...]

 
Posted by Bryan Hill
Monday, September 12, 2011
Labels: SRO

 

GAO Studies Feasibility of SRO for Investment Advisers to Private Funds

Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the U.S. Government Accountability Office (“GAO”) recently released a study regarding the feasibility of forming a self-regulatory organization (“SRO”) to oversee investment advisers to private funds.   Click here for a copy of the study. The GAO found that the general consensus is [...]

 
Posted by Bryan Hill
Thursday, August 4, 2011
Labels: Private Funds, SEC, SRO

 

House Financial Services Committee Advances Investor Protection Act

Here’s our update regarding proposed changes to the regulation of investment advisers. The Financial Services Committee of the U.S. House of Representatives advanced H.R. 3817, the Investor Protection Act, out of committee yesterday. According to the Financial Services Committee’s press release, key provisions of this bill include the following: an independent study of the regulatory [...]

 
Posted by Bryan Hill
Friday, November 6, 2009
Labels: Arbitration, Fiduciary, SEC, SRO

 

House Financial Services Committee Votes to Raise Assets Under Management for SEC Registration as Investment Adviser from $25 Million to $100 Million

Investment News is reporting that the Financial Services Committee of the U.S. House of Representatives passed today an amendment to the Investor Protection Act, H.R. 3817, whereby the general assets under management requirement to register with the U.S. Securities and Exchange Commission (“SEC”) as an investment adviser would increase from $25 million to $100 million. [...]

 
Posted by Bryan Hill
Thursday, October 29, 2009
Labels: Registration, SRO

 

The Adminstration Seeks Fiduciary Duty for B/Ds — Is the SEC Chairman Advocating the Establishment of an SRO for RIAs?

In the white paper, “Financial Regulatory Reform: A New Foundation,” recently released by the U.S. Treasury Department, the Obama Administration proposes the establishment of a fiduciary duty for broker-dealers offering investment advice and harmonization of the regulations of broker-dealers and registered investment advisers. Although there were only six paragraphs concerning the broker-dealer v. registered investment [...]

 
Posted by Bryan Hill
Saturday, June 20, 2009
Labels: Fiduciary, SEC, SRO

 
  

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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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