Investment Advisers Act Amendments

Summary

Investment Advisers Act Amendments - Authorizes the Securities and Exchange Commission to establish standards for investment advisers and their associated persons with respect to training, experience, competence, and such other qualifications as the Commission finds necessary or appropriate in the public interest or for the protection of investors. Provides that the Commission may require persons in any class of investment adviser to pass prescribed tests. Allows the Commission to promulgate rules and regulations to safeguard the public interest and to protect investors with respect to the financial responsibility of investment advisers. Authorizes the Commission to defray the costs of carrying out the requirements of this Act by prescribing reasonable fees and charges. Empowers the Commission to create advisory committees, employ experts, and hold public hearings. Requires the Commission to report to Congress, within 18 months from enactment, recommendations for legislation.

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Timeline

1. 20 January 1976

   Introduced

   Referred to Senate Committee on Banking, Housing and Urban Affairs.

   Source: IntroReferral

2. 20 January 1976

   Introduced

   Introduced in Senate

   Source: IntroReferral

3. 20 May 1976

   Reported

   Reported to Senate from the Committee on Banking, Housing and Urban Affairs with amendment, S. Rept. 94-910.

   Source: Committee

4. 20 May 1976

   Reported

   Reported to Senate from the Committee on Banking, Housing and Urban Affairs with amendment, S. Rept. 94-910.

   Source: Committee

Votes

No vote records are attached yet.

Versions

No version snapshots stored. Document URLs remain at the source.

Documents

2 official files

• Reported to Senate with amendment(s)

  summary · EN · 20 May 1976

  Open at official source

• Introduced in Senate

  summary · EN · 20 January 1976

  Open at official source

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Sponsors

• Sen. Williams, Harrison A., Jr. [D-NJ] · D · Sponsor
• · ssbk00 · Standing

Related records

• related to → Investment Advisers Act Amendments