Lawmakers Ask SEC to Curb Adviser Rules

Quigley, Joan; Hume, Lynn
March 2011
Investment Dealers' Digest;3/11/2011, Vol. 77 Issue 10, p11
Trade Publication
The article focuses on the appeal of the U.S. House Committee on Financial Services to the Securities and Exchange Commission (SEC) regarding the agency's proposed adviser rules. It mentions that the proposed rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act will require individuals to register as municipal advisers. SEC chairman Mary Schapiro said carrying out the act's municipal provision to examine new municipal advisers.


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