Thursday, September 1, 2011
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.