SEC Lays Out Advisor Exam Priorities for 2013
The regulator's top concerns include new, never-regulated advisor registrants and dually registered advisors.
U.S. Securities and Exchange Commission Information
This information sheet contains general information about certain provisions of the Investment Advisers Act of 1940 and selected rules under the Advisers Act. It also provides information about the resources available from the SEC to help advisors understand and comply with these laws and rules.