Securities Law Prof Blog

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

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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.

http://lawprofessors.typepad.com/securities/2011/09/two-more-congressional-hearings-on-the-sec-coming-up.html

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