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1 December 2010 Comment Letter

Comment Letter to U.S. SEC on Enhancing Investment Adviser Examinations

  1. John D. Rogers, CFA
  2. Linda Rittenhouse, JD

CFA Institute stated that increased funding for the SEC would be the best way to improve the frequency and quality of IA exams. The letter cited a survey of investment adviser members.

CFA Institute stated that increased funding for the SEC would be the best way to improve the frequency and quality of IA exams. The letter cited a survey of investment adviser members in which 57 percent favored continued SEC oversight of registered IAs.

View Comment Letter
Publisher Information
CFA Institute

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