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New Investment Adviser Requirements of the Dodd-Frank Act: What CPAs Should Know
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New Investment Adviser Requirements of the Dodd-Frank Act: What CPAs Should Know
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Trade Publication Article
New Investment Adviser Requirements of the Dodd-Frank Act: What CPAs Should Know
2011
Overview
Among the changes the Dodd-Frank Wall Street Reform and Consumer Protection Act, PL 111-203, (Reform Act) brings are laws affecting CPA financial advisers. These laws will be implemented by various regulations that the SEC will write in the coming months. CPA advisers should monitor the SEC's rule- making activities and assess the impact of these laws and regulations on their practices. Chief among such provisions is the shifting of registration of many registered investment advisers from the SEC to the states. While the details await the results of a study, the SEC may establish a fiduciary duty for broker-dealers similar to that for investment advisers. CPAs who have relied upon the exclusion from registration for services \"solely incidental\" to accountancy may continue to do so, and \"family offices\" generally are not required to register as investment advisers. Also, CPAs generally are exempted from oversight by the Bureau of Consumer Financial Protection established by the Reform Act.
Publisher
American Institute of Certified Public Accountants
