Securities and Exchange Commission:

Rules Implementing Amendments to the Investment Advisers Act of 1940 (Rule 203A-2)

OGC-97-46: Published: Jun 2, 1997. Publicly Released: Jun 2, 1997.

Multimedia:

Additional Materials:

Contact:

Office of Public Affairs
(202) 512-4800
youngc1@gao.gov

Pursuant to a legislative requirement, GAO reviewed the Securities and Exchange Commission's (SEC) new rule on the implementation of amendments to the Investment Advisers Act of 1940 (Rule 203A-2). GAO noted that: (1) the final rule would exempt four types of advisers from the prohibition on SEC registration, which include: (a) certain pension consultants; (b) nationally recognized statistical rating organizations; (c) certain advisers affiliated with SEC-registered investment advisers; and (d) newly formed advisers that have a reasonable expectation of becoming eligible for SEC registration within 120 days; and (2) SEC compiled with applicable requirements in promulgating the rule.

Nov 15, 2016

Nov 10, 2016

Nov 4, 2016

Oct 17, 2016

Oct 6, 2016

Sep 29, 2016

Sep 6, 2016

Jul 25, 2016

Jul 5, 2016

Looking for more? Browse all our products here