Articles tagged "David Massey"


HeadlinePublish date

Deadline for state registration may have shifted; SEC's Robert Plaze offers clarity

It's nice, but it's not a rule, say compliance experts, regulators frustrated by amorphous situation

April 12, 2011 — 2:48 PM UTC

Testy words pass between advisors and regulatory panelists at MarketCounsel conference

RIAs are shocked by how bad things have gotten in Washington

November 19, 2010 — 7:30 AM UTC

Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight

SEC announced time frame for proposed rules

September 23, 2010 — 6:12 AM UTC
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