Subcommittee on Securities, Insurance, and Investment

• 

  Bachus SRO Redraft Likely This Year: IAA’s Neil Simon

  By Melanie Waddell, AdvisorOne  |  March 9, 2012

  Top lobbyist for Investment Adviser Association said Rep. Spencer Bachus will release this year revised legislation calling for a self-regulatory organization for advisors, though action may wait until new Congress in 2013.

• 

  SEC Sees No Way to Adequately Examine Advisors, Senators Told

  By Melanie Waddell, AdvisorOne  |  November 16, 2011

  Carlo di Florio, director of the SEC's Office of Compliance Inspections and Examinations, said the agency “will not have sufficient capacity in the near or long term to conduct effective examinations of registered investment advisors with adequate frequency.”

• 

  Senate to Grill SEC Chiefs at Oversight Hearing

  By Melanie Waddell, AdvisorOne  |  November 10, 2011

  A Senate Banking Subcommittee plans to hold a hearing on Nov. 16 on management and structural reforms at the SEC, with Robert Khuzami and others facing off with the Senators.