Articles tagged "David Massey"
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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 at 2:48 PM
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 at 7:30 AM
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 at 6:12 AM
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