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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Timeline

1. 26 February 1992

   Introduced

   Read twice and referred to the Committee on Banking.

   Source: IntroReferral

2. 26 February 1992

   Introduced

   Introduced in Senate

   Source: IntroReferral

3. 21 May 1992

   Reported

   Committee on Banking. Ordered to be reported with an amendment in the nature of a substitute favorably.

   Source: Committee

4. 2 July 1992

   Calendars

   Placed on Senate Legislative Calendar under General Orders. Calendar No. 534.

   Source: Calendars

5. 2 July 1992

   Reported

   Committee on Banking. Reported to Senate by Senator Riegle with an amendment in the nature of a substitute. With written report No. 102-312.

   Source: Committee

6. 2 July 1992

   Reported

   Committee on Banking. Reported to Senate by Senator Riegle with an amendment in the nature of a substitute. With written report No. 102-312.

   Source: Committee

7. 12 August 1992

   Floor

   Measure laid before Senate by unanimous consent.

   Source: Floor

8. 12 August 1992

   Passed

   Passed/agreed to in Senate: Passed Senate with an amendment by Voice Vote.

   Source: Floor

9. 9 September 1992

   Floor

   Held at the desk.

   Source: Floor

10. 9 September 1992

    Floor

    Message on Senate action sent to the House.

    Source: Floor

11. 9 September 1992

    Floor

    Received in the House.

    Source: Floor

12. 23 September 1992

    Passed

    The title of the measure was amended. Agreed to without objection.

    Source: Floor

13. 23 September 1992

    Passed

    Motion to reconsider laid on the table Agreed to without objection.

    Source: Floor

14. 23 September 1992

    Floor

    A similar measure H.R. 5726 was laid on the table without objection.

    Source: Floor

15. 23 September 1992

    Passed

    On passage Passed without objection.

    Source: Floor

16. 23 September 1992

    Passed

    Passed/agreed to in House: On passage Passed without objection.

    Source: Floor

17. 23 September 1992

    Passed

    The House struck all after the enacting clause and inserted in lieu thereof the provisions of a similar measure H.R. 5726. Agreed to without objection.

    Source: Floor

18. 23 September 1992

    Floor

    Considered by unanimous consent.

    Source: Floor

19. 23 September 1992

    Floor

    Mr. Boucher asked unanimous consent to take from the Speaker's table and consider.

    Source: Floor

20. 25 September 1992

    Floor

    Message on House action received in Senate and at desk: House amendments to Senate bill.

    Source: Floor

Votes

No vote records are attached yet.

Versions

• Engrossed Amendment House · — · Download file
• Engrossed in Senate · — · Download file
• Introduced in Senate · — · Download file
• Reported to Senate · — · Download file

Documents

8 official files

• Reported to Senate (text)

  Reported to Senate · EN

  ViewDownloadOpen at official source

• Introduced in Senate (text)

  Introduced in Senate · EN

  ViewDownloadOpen at official source

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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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  Vertaal document

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• Passed House amended

  summary · EN · 23 September 1992

  Open at official source

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• Passed Senate amended

  summary · EN · 12 August 1992

  Open at official source

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  Vertaal document

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• Reported to Senate with amendment(s)

  summary · EN · 2 July 1992

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  Vertaal document

  Documentvertaling op verzoek met downloadbare PDF (logo + link naar de officiële bron). Het bronbestand blijft leidend.

• Introduced in Senate

  summary · EN · 26 February 1992

  Open at official source

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  Vertaal document

  Documentvertaling op verzoek met downloadbare PDF (logo + link naar de officiële bron). Het bronbestand blijft leidend.

Sponsors

• Sen. Dodd, Christopher J. [D-CT] · D · Sponsor
• Sen. Riegle, Donald W., Jr. [D-MI] · D · Sponsor
• Sen. D'Amato, Alfonse [R-NY] · R · Sponsor
• Sen. Dixon, Alan J. [D-IL] · D · Sponsor
• Sen. Sanford, Terry [D-NC] · D · Sponsor
• Sen. Wirth, Timothy [D-CO] · D · Sponsor
• Sen. Kerry, John F. [D-MA] · D · Sponsor
• Sen. Bryan, Richard H. [D-NV] · D · Sponsor
• Sen. Bond, Christopher S. [R-MO] · R · Cosponsor
• · ssbk00 · Standing

Related records

• related to → Securities Investor Protection Amendments of 1992
• amends ← To require the Securities and Exchange Commission to study the impact on investment advisers of large and small size, and the competitive impact on investment advisers located in non-urban areas, of fidelity bonding requirements.