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
Best summary of outstanding questions and little known developments I’ve seen.
Thank you for keeping up the pressure on NASAA.
<a href="http://ria-law.com" rel="nofollow">www.ria-law.com</a>
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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