Compliance News and Views
Use the links below to browse recent compliance information.
The Advisers Best Friend [Word Doc]
(Jun 15, 2005)
Guru Recommended Reading - Chief Compliance Officer - Job Description
E-mail: A Little Guru Advice [Word Doc]
SEC Updates Form ADV [Word Doc]
Compliance News for the Week of July 11, 2005 [Word Doc]
(Jul 14, 2005)
Oops! Be careful what you e-mail!
Ohio release adopting SEC rules.
Ohio adopts SEC rules regarding written supervisory procedures and compliance officer. May be valuable for all advisers to review the compliance rule. Click on link.
Arbitration News [Word Doc]
Are changes coming to forced arbitration?
SEC looking at annuity sales. [Word Doc]
State Regulators working on new rules.
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