{"id":1510,"date":"2014-09-03T14:27:37","date_gmt":"2014-09-03T14:27:37","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2014\/09\/study_assesses_how_much_invest"},"modified":"2022-04-03T15:51:34","modified_gmt":"2022-04-03T20:51:34","slug":"study-assesses-how-much-invest","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/study-assesses-how-much-invest\/","title":{"rendered":"Study Assesses How Much Investment Advisory Firms Would Pay for SEC Exams"},"content":{"rendered":"

\t\t\t\tAccording to a study released by compliance consultant RIA in a Box, some investment advisory firms could end up paying millions of dollars in users fees each year to finance exams conducted by the Securities and Exchange Commission. The study addresses a bill that would let the regulator charge fees to cover exam costs. The agency has said that it needs more money to hire more RIA examiners.<\/p>\n

The proposed measure is intended to help the SEC enhance its yearly examination rate. Right now, the exam rate is just 9% of the about 11,500 investment advisers that are registered with the agency.<\/p>\n

Under the bill, the SEC would determine user fees according to how much it would cost to increase the amount and frequency of registered investment advisers. A firm’s assets under management, risks characteristics, and the number and kinds of clients would also be factored.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

According to a study released by compliance consultant RIA in a Box, some investment advisory firms could end up paying millions of dollars in users fees each year to finance exams conducted by the Securities and Exchange Commission. The study addresses a bill that would let the regulator charge fees to cover exam costs. 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