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Eavesdropping on the IAA: JP Morgan exec challenges advisors on FINRA

SRO remains overarching concern; many advisors haven't finished their ADVs; anxiety rises about 'the switch'

Author Elizabeth MacBride March 11, 2011 at 3:26 PM
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Troy Paredes: The SEC commissioner also spoke, advocating for a regulatory regime that's easier on small firms ‘We should reject a one-size-fits all regulatory regime,” he said.


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Mentioned in this article:

FrontLine Compliance, LLC
Compliance Expert
Top Executive: Chip Arvantides



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