Non-Governmental Adviser Exams Coming?

The SEC plans to propose rules authorizing non-governmental exams for advisers, this according to its latest regulatory agenda filed with the Office of Information and Regulatory Affairs.

You can see the brief filing by clicking here.

It plans to propose the rules establishing a program of third-party compliance assessment in April 2017, with a goal of increasing the number of annual adviser exams. The agency recently announced plans to add over 100 new examiners under its proposed 2017 budget.

 


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