Official Bill Info

• Latest Action: Jun 06, 2012 Committee Hearings Held.

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• Committee Assignment: House Financial Services

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  This bill has been assigned to the House Financial Services committee.

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Highest Rated User Comments

Highly Rated Blog Articles

• To Thwart SRO, Rep. Waters Introduces User Fee Bill :: Compliance ... - July 26, 2012 by cindi - ... National Association of Personal Financial Advisors (NAPFA) and the CFP Board, said in a statement that Waters' bill was "a credible alternative to the Investment Adviser Oversight Act of 2012 (H.R. 4624), introduced in ...

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  As noted by cindi on July 26, 2012, "... National Association of Personal Financial Advisors (NAPFA) and the CFP Board, said in a statement that Waters' bill was "a credible alternative to the Investment Adviser Oversight Act of 2012 (H.R. 4624), introduced in ..." (/url?q=http://tgtai.net/compliance/2012/07/26/to-thwart-sro-rep-waters-introduces-user-fee-bill/&sa=U&ei=PokSUJSoAomC8ASAm4CQAQ&ved=0CCEQmAEwAQ&usg=AFQjCNFjY_RXGjj7B--yIgIe-MnXxl5T6g)
• To Thwart SRO, Rep. Waters Introduces User Fee Bill - July 25, 2012 by http://www.advisorone.com/ - ... National Association of Personal Financial Advisors (NAPFA) and the CFP Board, said in a statement that Waters' bill was "a credible alternative to the Investment Adviser Oversight Act of 2012 (H.R. 4624), introduced in ...

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  As noted by http://www.advisorone.com/ on July 25, 2012, "... National Association of Personal Financial Advisors (NAPFA) and the CFP Board, said in a statement that Waters' bill was "a credible alternative to the Investment Adviser Oversight Act of 2012 (H.R. 4624), introduced in ..." (/url?q=http://www.advisorone.com/2012/07/25/to-thwart-sro-rep-waters-introduces-user-fee-bill&sa=U&ei=QSoRUJzbM4rY0QH5uoDICw&ved=0CCEQmAEwAQ&usg=AFQjCNE-IwXWrsqpWc3yb1fZBrowyeXqgQ)
• I Just Renewed My CFP Designation, And They Oppose FINRA ... - July 15, 2012 by http://investmentbankservice.com/ - LEGISLATIVE ACTION ALERT: CFP Board and the Financial Planning Coalition urge on you to demonstrate your opponent to HR 4624, that would outsource SEC omission of investment advisers to one or more ...

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  As noted by http://investmentbankservice.com/ on July 15, 2012, "LEGISLATIVE ACTION ALERT: CFP Board and the Financial Planning Coalition urge on you to demonstrate your opponent to HR 4624, that would outsource SEC omission of investment advisers to one or more ..." (/url?q=http://investmentbankservice.com/investment-bank-service/i-just-renewed-my-cfp-designation-and-they-oppose-finra-oversight-of-cfp-advisors/&sa=U&ei=Pd8LUNqwBKHi2QXnrPUP&ved=0CEAQmAEwCA&usg=AFQjCNFOuBDu5JdBvR6TTCtfmg27W_AX6A)

Highly Rated News Articles

• Senators Unveil Bill to Increase SEC Civil Penalties; House Members Propose Competing Bills to Enhance the SEC’s Investment Adviser Oversight - July 31, 2012 by jdsupra.com - This bill follows an earlier bill from Reps. Bachus (R-AL) and McCarthy (D-NY), H.R. 4624, which also seeks to improve oversight of investment advisers, but through the establishment of self-regulatory organizations overseen by the SEC that investment ...

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  As noted by jdsupra.com on July 31, 2012, "This bill follows an earlier bill from Reps. Bachus (R-AL) and McCarthy (D-NY), H.R. 4624, which also seeks to improve oversight of investment advisers, but through the establishment of self-regulatory organizations overseen by the SEC that investment ..." (http://www.jdsupra.com/legalnews/senators-unveil-bill-to-increase-sec-civ-26555/)
• Financial Planning Coalition Supports Introduction of Legislation to Increase Investment Adviser Ove - July 28, 2012 by PR-USA.net - The bill is a credible alternative to the Investment Adviser Oversight Act of 2012 (H.R. 4624), introduced in April, which would impose higher costs and a redundant regulatory burden on small advisory firms by mandating that they join a self-regulatory ...

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  As noted by PR-USA.net on July 28, 2012, "The bill is a credible alternative to the Investment Adviser Oversight Act of 2012 (H.R. 4624), introduced in April, which would impose higher costs and a redundant regulatory burden on small advisory firms by mandating that they join a self-regulatory ..." (http://pr-usa.net/index.php?option=com_content&task=view&id=1232375&Itemid=30)
• SEC Would Get Dedicated Funding Under Waters Legislation - July 27, 2012 by Thompson.com - The bill, H.R. 4624, got a committee hearing June 6, in which Waters announced she would introduce her own legislation as an alternative to the so-called SRO bill. The idea of an SRO, as opposed to the SEC, is unpopular with advisers and the ...

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  As noted by Thompson.com on July 27, 2012, "The bill, H.R. 4624, got a committee hearing June 6, in which Waters announced she would introduce her own legislation as an alternative to the so-called SRO bill. The idea of an SRO, as opposed to the SEC, is unpopular with advisers and the ..." (http://www.thompson.com/public/newsbrief.jsp?cat=FINANCE&id=3908)