RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

Deadline for state registration may have shifted; SEC's Robert Plaze offers clarity

It's nice, but it's not a rule, say compliance experts, regulators frustrated by amorphous situation

Author Elizabeth MacBride April 12, 2011 at 2:48 PM
Admin:
0 Comments
no description available
NASSA's David Massey: “(The letter) was helpful news, which is unusual."

Related Moves

November 18, 2022 at 2:56 AM


Mentioned in this article:

Schwartz Law Group LLC
RIA Set-up Firm
Top Executive: Todd E. Schwartz




RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo