ACA Insight Breaking News – SEC Releases Adviser Examination Study, User Fees Get Thumbs Up, Adviser SRO Still A Possibility

SEC examinations supported by user fees, adviser SRO(s), and FINRA examination of dual registrants – these are the SEC’s recommendations for Congressional consideration in the SEC’s newly released “Study on Enhancing Investment Adviser Examinations.” The study was mandated by Section 914 of the Dodd-Frank Act and prepared by the SEC’s Division of Investment Management.Without expressly […]
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