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| Compliance Programs for Investment Advisers and Private Fund ... Compliance Programs for Investment Advisers and Private Fund Managers. March 7, 2013 8:00am - 10:00am. Join us for the 4th session of our Investment ... www.wolfandco.com/news/events/267-compliance.../view | ||
| FINRA Drops Bid to be SRO for Registered Investment Advisors, For ... Over the last couple of years, FINRA has spent nearly $5 million lobbying to become the primary regulator for registered investment advisers ("RIA"). However ... www.corecls.com/.../finra-drops-bid-to-be-sro-for-registered-i... |
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