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Articles tagged "David Massey"

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NASSA's David Massey: “(The letter) was helpful news, which is unusual."

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

April 12, 2011 at 2:48 PM
David Tittsworth: I feel alone out there a lot of the time.

Testy words pass between advisors and regulatory panelists at MarketCounsel conference

RIAs are shocked by how bad things have gotten in Washington

November 19, 2010 at 7:30 AM
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.

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

SEC announced time frame for proposed rules

September 23, 2010 at 6:12 AM
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