Fast and Furious

July 22, 2010

I think this will be the Year of Rules and Regulations. With the passage of the Financial Reform Bill, DOLs issuance of new pension rules and now the SECs revision to the ADV Part II our compliance people will have their work cut out for themselves. Below is a link to the details of the SEC’s new Investment Advisor disclosure rules.

Click here to read the summary from the SEC website

%d bloggers like this: