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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

Author Elizabeth MacBride August 25, 2010 at 12:56 PM
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Denise Voigt Crawford: Advisors who haven't had an SEC audit recently -- or ever -- should expect an examiner's knock on the door soon after they switch to state oversight.

Women of Wealth Management

Todd E. Schwartz

Todd E. Schwartz

September 3, 2010 — 6:27 PM

Best summary of outstanding questions and little known developments I’ve seen.

Thank you for keeping up the pressure on NASAA.


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Elizabeth MacBride

Elizabeth MacBride

September 3, 2010 — 6:37 PM

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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