Congressional Activity

This is a bill, introduced in July 2012 by Rep. Maxine Waters (D-Calif.), that would allow the SEC to charge user fees of investment advisers ...

Opponents of an SRO for investment advisers may take it as a hopeful sign that the House Financial Services Committee hasn't scheduled a markup of ...

As we went to press, the House Financial Services Committee hadn't yet announced its witness list for its June 6th hearing into the IA SRO ...

The House Financial Services Committee has announced a hearing into its chairman's bill that would give the SEC the right to create an SRO for ...

Some members of the Financial Services Institute will be lobbying on Capitol Hill this week, urging lawmakers and senators to support the new bill calling ...

House bill H.R. 4624, which was formally introduced in Congress last week, would allow for multiple SROs for IAs serving retail clients. It differs in ...

This is the Investment Adviser Oversight Act of 2012, which would establish an SRO for RIAs. It was introduced in April 2012.

By now you may have heard that President Obama last week signed into law the JOBS Act - which stands for Jumpstart Our Business Startups ...

This is the so-called JOBS Act, or Jumpstart Our Business Startups Act from 2012. This is legislation that would ease the general solicitation rule, following ...

An aide to Rep. Spencer Bachus (R-Ala.) now says a bill calling for an SRO for advisers isn't likely before the Spring. This pushes back ...