See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News February 8, 2016 Issue

SEC Reassigning Broker-Dealer Examiners to Advisers

The SEC, perennially short on examiners for the growing number of registered investment advisers, will be adding 100 more to the task as 2016 progresses and a significant percentage of them will be existing examiners that currently focus on broker-dealers. The result may be a significant increase in the frequency of investment adviser examinations.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight and receive a time-limited $200 discount! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.