Pitt recently said an increased workload associated with the Dodd-Frank Act and other developments are making it hard for the SEC to effectively conduct exams.
Read the full article from AdvisorOne.com here.
Estimated reading time: 0 minutes, 18 seconds
SRO Could Improve Exams of Advisors
A self regulatory organization for registered investment advisors would allow for more effective examinations of registered investment advisors, according to former Securities and Exchange Chairman Harvey Pitt, reports AdvisorOne.com.
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