Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Thursday, January 20, 2011

SEC Releases Study on Enhancing Investment Adviser Exams

The SEC released its report(Download 914studyfinal) on investment adviser examinations required by Dodd-Frank section 914 late yesterday, after I had blogged about its delay.  I will report on the SEC's findings later today.

http://lawprofessors.typepad.com/securities/2011/01/sec-releases-study-on-enhancing-investment-adviser-exams.html

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