3.0.0 1627 2022-11-15T16:35:07Z 2022-11-15T16:35:07Z House H HR 2013-04-18 113 From the Congressional Record Online through the Government Publishing Office [www.gpo.gov]By Ms. WATERS:H.R. 1627.Congress has the power to enact this legislation pursuantto the following:Article I Section 8 of the United States Constitution[Page H2160]]]> hsba00 Financial Services Committee House Standing Referred to 2013-04-18T14:06:25Z 2013-04-18 Referred to the House Committee on Financial Services. IntroReferral H11100 2 House floor actions hsba00 Financial Services Committee 2013-04-18 Introduced in House IntroReferral Intro-H 9 Library of Congress 2013-04-18 Introduced in House IntroReferral 1000 9 Library of Congress W000187 Rep. Waters, Maxine [D-CA-43] MAXINE WATERS D CA 43 N D000620 Rep. Delaney, John K. [D-MD-6] John Delaney D MD K. 6 2013-04-18 True C001037 Rep. Capuano, Michael E. [D-MA-7] MICHAEL CAPUANO D MA E. 7 2013-05-09 False E000288 Rep. Ellison, Keith [D-MN-5] Keith Ellison D MN 5 2013-05-09 False M000133 Rep. Markey, Edward J. [D-MA-5] Edward Markey D MA J. 5 2013-06-14 False M001160 Rep. Moore, Gwen [D-WI-4] Gwen Moore D WI 4 2013-06-14 False F000454 Rep. Foster, Bill [D-IL-11] Bill Foster D IL 11 2013-09-20 False N000147 Del. Norton, Eleanor Holmes [D-DC-At Large] ELEANOR NORTON D DC HOLMES 0 2014-02-10 False M000087 Rep. Maloney, Carolyn B. [D-NY-12] CAROLYN MALONEY D NY B. 12 2014-07-11 False G000553 Rep. Green, Al [D-TX-9] Al Green D TX 9 2014-07-11 False H001064 Rep. Heck, Denny [D-WA-10] Denny Heck D WA 10 2014-07-11 False H001047 Rep. Himes, James A. [D-CT-4] James Himes D CT A. 4 2014-07-11 False C001061 Rep. Cleaver, Emanuel [D-MO-5] Emanuel Cleaver D MO 5 2014-07-11 False M001137 Rep. Meeks, Gregory W. [D-NY-5] GREGORY MEEKS D NY W. 5 2014-07-11 False B001281 Rep. Beatty, Joyce [D-OH-3] Joyce Beatty D OH 3 2014-07-11 False L000562 Rep. Lynch, Stephen F. [D-MA-8] Stephen Lynch D MA F. 8 2014-07-11 False H000636 Rep. Hinojosa, Ruben [D-TX-15] RUBEN HINOJOSA D TX 15 2014-07-11 False C001049 Rep. Clay, Wm. Lacy [D-MO-1] WM. CLAY D MO LACY 1 2014-07-11 False M001191 Rep. Murphy, Patrick [D-FL-18] Patrick Murphy D FL 18 2014-07-11 False S001191 Rep. Sinema, Kyrsten [D-AZ-9] Kyrsten Sinema D AZ 9 2014-07-11 False B000013 Rep. Bachus, Spencer [R-AL-6] SPENCER BACHUS R AL 6 2014-07-17 False S001157 Rep. Scott, David [D-GA-13] David Scott D GA 13 2014-07-17 False H001066 Rep. Horsford, Steven [D-NV-4] Steven Horsford D NV 4 2014-07-17 False S001190 Rep. Schneider, Bradley Scott [D-IL-10] Bradley Schneider D IL Scott 10 2014-07-31 False T000465 Rep. Tsongas, Niki [D-MA-3] Niki Tsongas D MA 3 2014-07-31 False C001101 Rep. Clark, Katherine M. [D-MA-5] Katherine Clark D MA M. 5 2014-09-15 False Finance and Financial Sector Accounting and auditing Banking and financial institutions regulation Congressional oversight Financial services and investments Government information and archives User charges and fees Finance and Financial Sector 00 2013-04-18 Introduced in House 2013-04-30T20:35:19Z Investment Adviser Examination Improvement Act of 2013 - Declares the sense of Congress that the Securities and Exchange Commission (SEC) should increase the number and frequency of examinations of investment advisers.

Amends the Investment Advisers Act of 1940 to direct the SEC to collect an annual fee from investment advisers subject to SEC inspection or examination to defray the cost of such inspections and examinations. Exempts certain state-regulated investment advisers from the requirement to pay an annual fee.

Prescribes a fee calculation formula. Requires the SEC to make the formula publicly available on its website along with the factors used to reach the fee determination.

Requires the Comptroller General to audit biennially the use of such fees, SEC reviews of the fee formula, and any adjustments to it.

Makes such fees available to the SEC, without further appropriation or fiscal year limitation, to pay costs associated with inspecting and examining investment advisers.

]]> Investment Adviser Examination Improvement Act of 2013 Display Title Investment Adviser Examination Improvement Act of 2013 Short Titles as Introduced Investment Adviser Examination Improvement Act of 2013 Official Title as Introduced To amend the Investment Advisers Act of 1940 to require certain investment advisers to pay fees to help cover the costs of inspecting and examining investment advisers under such Act. Introduced in House 2013-04-18T04:00:00Z https://www.govinfo.gov/content/pkg/BILLS-113hr1627ih/xml/BILLS-113hr1627ih.xml 2013-04-18 Referred to the House Committee on Financial Services. text/xml EN Pursuant to Title 17 Section 105 of the United States Code, this file is not subject to copyright protection and is in the public domain. Congressional Research Service, Library of Congress This file contains bill summaries and statuses for federal legislation. A bill summary describes the most significant provisions of a piece of legislation and details the effects the legislative text may have on current law and federal programs. Bill summaries are authored by the Congressional Research Service (CRS) of the Library of Congress. As stated in Public Law 91-510 (2 USC 166 (d)(6)), one of the duties of CRS is "to prepare summaries and digests of bills and resolutions of a public general nature introduced in the Senate or House of Representatives". For more information, refer to the User Guide that accompanies this file.