Attention All Members: RIA Compliance Alert
Excerpt from the alert:
“A bill was introduced on Wednesday by Rep. Spencer Bachus (R-Alabama), Chairman of the House Financial Services Committee, that if passed would significantly impact RIAs. The bill, the “Investment Adviser Oversight Act of 2012,†would establish one or more self regulatory organizations (SROs) which all investment advisers would be required to join and pay membership fees…”
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