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.

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.

Jul 31, 2014

Jun 18, 2014

Apr 29, 2014

Apr 7, 2014

Jan 8, 2014

Dec 11, 2013

Nov 14, 2013

Oct 29, 2013

Sep 6, 2013

Looking for more? Browse all our products here