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首页> 美国政府科技报告 >Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers as Required by Section 919B of the Dodd-Frank Wall Street Reform and Consumer Protection Act
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Study and Recommendations on Improved Investor Access to Registration Information About Investment Advisers and Broker-Dealers as Required by Section 919B of the Dodd-Frank Wall Street Reform and Consumer Protection Act

机译：根据“多德 - 弗兰克华尔街改革和消费者保护法”第919B节的要求，改善投资者获取投资顾问和经纪人交易商的注册信息的研究和建议

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The Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act or Act) was signed into law on July 21, 2010. Section 919B of the Act directs the Securities and Exchange Commission (the Commission or SEC) to complete a study, including recommendations, of ways to improve the access of investors to registration information about registered and previously registered investment advisers, associated persons of investment advisers, brokers and dealers and their associated persons, and to identify additional information that should be made publicly available. The Act specifies that the study include an analysis of the advantages and disadvantages of further centralizing access to registration information, and identify data pertinent to investors and the method and format for displaying and publishing the data to enhance the information's accessibility and utility to investors. The Act requires the Commission to complete the study within six months after the date of enactment of the Act (i.e., by January 21, 2011), and to implement any recommendations within eighteen months after completion of the study.

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