Securities Law Prof Blog

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

Thursday, September 1, 2011

Two More Congressional Hearings on the SEC Coming Up

The House Financial Services Committee recently announced two upcoming hearings on the SEC:

On September 13, 2011,  the Capital Markets and Government Sponsored Enterprises Subcommittee will hold a hearing on the regulation and oversight of broker-dealers and investment advisers.  The Subcommittee will examine studies mandated by the Dodd-Frank Act on the effectiveness of standards of care applicable to broker-dealers and investment advisers, and on the need for enhanced examination and enforcement resources for investment advisers.

On September 15, 2011, the Full Committee will hold a hearing on the structure and operations of the Securities and Exchange Commission and the need for reform of the SEC.

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