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May 2012 M T W T F S S 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 Archives
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Monthly Archives: May 2012
Bachus Bill – Say NO to FINRA
If you believe that compliance is already challenging enough – then you will want to oppose HR 4624, aka the Bachus bill. HR 4624 would outsource oversight of IAs to a self-regulatory organization (SRO) which would likely be established by … Continue reading
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Tagged Bachus bill, compliance, IA regulations, Investment Advisor, SEC regulations
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