Representative Maxine Waters (D – CA) recently introduced an alternative proposal that would allow the SEC to maintain adviser oversight. The Investment Adviser Examination Improvement Act of 2012 would authorize the SEC to charge user fees from investment advisers to help fund the efforts.
Firefox recommends the PDF Plugin for Mac OS X for viewing PDF documents in your browser.
We can also show you Legal Updates using the Google Viewer; however, you will need to be logged into Google Docs to view them.
Please choose one of the above to proceed!
LOADING PDF: If there are any problems, click here to download the file.
Published In:
Labor & Employment Law Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
© Bettina Eckerle, B.E. Compliance, LLC | Attorney Advertising
