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Articles tagged "the switch"

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NASSA's David Massey: “(The letter) was helpful news, which is unusual."

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
Troy Paredes: The SEC commissioner also spoke, advocating for a regulatory regime that's easier on small firms ‘We should reject a one-size-fits all regulatory regime,” he said.

Eavesdropping on the IAA: JP Morgan exec challenges advisors on FINRA

SRO remains overarching concern; many advisors haven't finished their ADVs; anxiety rises about 'the switch'

March 11, 2011 at 3:26 PM
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