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Articles tagged "Denise Voigt Crawford"

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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
Denise Voigt Crawford: Advisors who haven't had an SEC audit recently -- or ever -- should expect an examiner's knock on the door soon after they switch to state oversight.

What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation

It could impose most on advisors spread out across multiple states

August 25, 2010 at 12:56 PM
House and Senate financial reform bills would shift 4,000 RIAs to state oversight, but the SEC still has questions about states' resources.

Regulatory Wire: Two Senators may take on fiduciary fight, but how hard will the Obama administration push for the standard?

Plus, Doubts about state regulators' resources; a possible reprieve for California RIAs; and Schumer's under pressure on SEC funding

April 16, 2010 at 6:28 AM
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