Search for: "Spencer T Bachus, III"
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13 Sep 2012, 7:07 am
Spencer Bachus says. [read post]
6 Oct 2011, 2:00 am
Non-Enforcement Matters Legislation Intended to Create an SRO for Investment Advisers The Chairman of the House Financial Services Committee (House Committee), Spencer Bachus (R-Ala.), intends to introduce legislation that would require both SEC- and state-registered investment advisers to join a self-regulatory organization (SRO) overseen by the SEC. [read post]
18 May 2012, 10:44 am
" At the time, Committee Chairman Spencer Bachus (R-AL) said "[t]he SEC’s practice of using 'no-contest settlements' has raised concerns about accountability and transparency," while Ranking Member Barney Frank (D-MA) expressed the view that the practice "raises serious issues. [read post]
