Monthly Archives: August 2011

Mary Schapiro speaking about the switch rule for mid-sized SEC registered advisors. She isn’t the most exciting speaker, but the information is helpful if you are one of the advisers that is affected by this amendment. SEC Open Meeting: Dodd-Frank … Continue reading →

Thank you for visiting my blog.  In the future, you will find posts regarding various Investment Advisor compliance-related concerns, issues, updates, etc.   Be sure to visit often.