Investment Advisors Disclosure and Enforcement Act of 1990

Summary

Investment Advisors Disclosure and Enforcement Act of 1990 - Amends the Investment Advisers Act of 1940 to subject registered investment advisers (and persons controlling such advisers) to liability to persons injured by such advisers' violations of such Act. Prescribes prohibited practices regarding securities recommendations and sets forth disclosure requirements regarding conflicts of interests for investment advisers. Expands the definition of investment planners and related businesses. Authorizes the Securities and Exchange Commission to assess civil penalties and to seek court actions to enforce them.

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Timeline

1. 2 April 1990

   Introduced

   Referred to the House Committee on Energy and Commerce.

   Source: IntroReferral

2. 2 April 1990

   Introduced

   Introduced in House

   Source: IntroReferral

3. 2 April 1990

   Introduced

   Introduced in House

   Source: IntroReferral

4. 27 April 1990

   Referred

   Referred to the Subcommittee on Telecommunications and Finance.

   Source: Committee

5. 18 July 1990

   Committee

   Subcommittee Hearings Held.

   Source: Committee

Votes

No vote records are attached yet.

Versions

• Introduced in House · — · Download file

Documents

2 official files

• Introduced in House (text)

  Introduced in House · EN

  ViewDownloadOpen at official source

• Introduced in House

  summary · EN · 2 April 1990

  Open at official source

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Sponsors

• Rep. Boucher, Rick [D-VA-9] · D · Sponsor
• Rep. Dingell, John D. [D-MI-12] · D · Sponsor
• Sen. Markey, Edward J. [D-MA] · D · Sponsor
• Rep. Eckart, Dennis E. [D-OH-11] · D · Sponsor
• Rep. Cooper, Jim [D-TN-5] · D · Sponsor
• Rep. Slattery, Jim [D-KS-2] · D · Sponsor
• Sen. Wyden, Ron [D-OR] · D · Sponsor
• · hsif00 · Standing

Related records

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