What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation
It could impose most on advisors spread out across multiple states
![Todd E. Schwartz](/_next/image?url=https%3A%2F%2Fwww.gravatar.com%2Favatar.php%3Fgravatar_id%3D036157e7c762bb36d57eacfcc67328f3%26default%3Dhttps%253A%252F%252Fucarecdn.com%252F0b5addcb-6e7e-48f1-9e88-2279491e69b9%252Fiphonelogo.png%26size%3D50&w=1200&q=75)
Todd E. Schwartz
Best summary of outstanding questions and little known developments I’ve seen.
Thank you for keeping up the pressure on NASAA.
Todd
<a href="http://ria-law.com" rel="nofollow">www.ria-law.com</a>
![Elizabeth MacBride](/_next/image?url=https%3A%2F%2Fwww.gravatar.com%2Favatar.php%3Fgravatar_id%3D45f2d14960b658b4e2df3762a24d0129%26default%3Dhttps%253A%252F%252Fucarecdn.com%252F0b5addcb-6e7e-48f1-9e88-2279491e69b9%252Fiphonelogo.png%26size%3D50&w=1200&q=75)
Elizabeth MacBride
Thanks for the kind words. In fact, I did get a copy of the agreement between the state regulators. I’ll have it up on the RIABiz site on Tuesday. I’m planning on covering NASAA’s conference late next month — where the switch is sure to be the number one agenda item.
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