In this issue:
- The 113th Congress
- Securities and Exchange Commission
- Commodity Futures Trading Commission (CFTC)
- The Administration
- Private Equity Growth Capital Council (PEGCC)
- Excerpt from: Securities and Exchange Commission:
Dodd-Frank Investor Advisory Committee Recommends User Fees on Registered IAs -
The SEC’s Dodd-Frank Investor Advisory Committee approved a proposal to impose user fees on SEC registered investment advisers to fund an enhanced investment adviser examination program by the SEC. The proposal recommends that Congress pass H.R. 1627, the Investment Adviser Examination Improvement Act of 2013, authored by Congresswoman Maxine Waters (D-CA). This proposal was supported by the Investment Adviser Association and other groups.
Please see full newsletter below for more information.
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Topics: CFTC, Dodd-Frank, Fees, Investment Adviser, PEGCC, Private Funds, SEC
Published In: Consumer Protection Updates, Elections & Politics Updates, Finance & Banking Updates, Securities Updates, Tax 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.
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