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United States · Bill · HR

H.R. 1627 (113th)

Investment Adviser Examination Improvement Act of 2013

referredUnited States· United States Congress· EN

Introduced

18 April 2013

Last action

18 April 2013 · Introduced

Status

Referred to the House Committee on Financial Services.

Sponsors

Rep. Waters, Maxine [D-CA-43], Rep. Delaney, John K. [D-MD-6], Rep. Capuano, Michael E. [D-MA-8], Rep. Ellison, Keith [D-MN-5], Sen. Markey, Edward J. [D-MA], Rep. Moore, Gwen [D-WI-4], Rep. Foster, Bill [D-IL-11], Del. Norton, Eleanor Holmes [D-DC-At Large], Rep. Maloney, Carolyn B. [D-NY-12], Rep. Green, Al [D-TX-9], Rep. Heck, Denny [D-WA-10], Rep. Himes, James A. [D-CT-4], Rep. Cleaver, Emanuel [D-MO-5], Rep. Meeks, Gregory W. [D-NY-5], Rep. Beatty, Joyce [D-OH-3], Rep. Lynch, Stephen F. [D-MA-8], Rep. Hinojosa, Ruben [D-TX-15], Rep. Clay, Wm. Lacy [D-MO-1], Rep. Murphy, Patrick [D-FL-18], Sen. Sinema, Kyrsten [I-AZ], Rep. Bachus, Spencer [R-AL-6], David Scott, Rep. Horsford, Steven [D-NV-4], Rep. Schneider, Bradley Scott [D-IL-10], Rep. Tsongas, Niki [D-MA-3], Rep. Clark, Katherine M. [D-MA-5]

Subjects

Taxation

Source updated

12 August 2025

Taxation

Official sourceDownload fileView documentsShare

Summary

Investment Adviser Examination Improvement Act of 2013 - Declares the sense of Congress that the Securities and Exchange Commission (SEC) should increase the number and frequency of examinations of investment advisers. Amends the Investment Advisers Act of 1940 to direct the SEC to collect an annual fee from investment advisers subject to SEC inspection or examination to defray the cost of such inspections and examinations. Exempts certain state-regulated investment advisers from the requirement to pay an annual fee. Prescribes a fee calculation formula. Requires the SEC to make the formula publicly available on its website along with the factors used to reach the fee determination. Requires the Comptroller General to audit biennially the use of such fees, SEC reviews of the fee formula, and any adjustments to it. Makes such fees available to the SEC, without further appropriation or fiscal year limitation, to pay costs associated with inspecting and examining investment advisers.

This text is taken from the official record. PoliticalRepo does not editorialize.

Timeline

  1. 18 April 2013

    Introduced

    Referred to the House Committee on Financial Services.

    Source: IntroReferral

  2. 18 April 2013

    Introduced

    Introduced in House

    Source: IntroReferral

  3. 18 April 2013

    Introduced

    Introduced in House

    Source: IntroReferral

Votes

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Versions

Documents

3 official files

Introduced in House (text)

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  • Introduced in House (text)

    Introduced in House · EN · 18 April 2013

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  • Introduced in House (PDF)

    Introduced in House · EN · 18 April 2013

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  • Introduced in House

    summary · EN · 18 April 2013

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Sponsors

Related records

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Sources

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