Investment Adviser Oversight Act of 1992

Summary

Investment Adviser Oversight Act of 1992 - Amends the Investment Advisers Act of 1940 to authorize the Securities and Exchange Commission to establish fees to recover the costs of enhanced supervision and regulation of investment advisers and their activities. Provides that such fees shall be paid by such advisers at the time of filing an application for registration. Authorizes the Commission to require, by rule, an adviser to file any required fee, application, report, or notice through any person the Commission designates. Prohibits investment advisers from giving investment advice other than in connection with impersonal advisory services, unless the adviser has reasonably determined such advice to be suitable based upon the client's financial situation and experience. Authorizes the Commission to require by rule that registered advisers be bonded against larceny and embezzlement.

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Documents

8 official files

• Reported to Senate (text)

  Reported to Senate · EN

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• Introduced in Senate (text)

  Introduced in Senate · EN

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• Engrossed in Senate (text)

  Engrossed in Senate · EN

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• Engrossed Amendment House (text)

  Engrossed Amendment House · EN

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• Passed House amended

  summary · EN · 23 September 1992

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• Passed Senate amended

  summary · EN · 12 August 1992

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• Reported to Senate with amendment(s)

  summary · EN · 2 July 1992

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• Introduced in Senate

  summary · EN · 26 February 1992

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