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Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight

SEC announced time frame for proposed rules

Thursday, September 23, 2010 – 6:12 AM by Elizabeth MacBride
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Compliance expert Cathy Vasilev says many of her clients are beginning to worry about whether they will be able to register with the states by the July 21 deadline.

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Red Oak Compliance Solutions
Compliance Expert, Regulatory Consultant, Tech: Other
Top Executive: Stephen Pope




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