As required by the Dodd-Frank Wall Street Reform and Consumer Protection Act, the SEC has formed a 21-member committee to advise the Commission and among other things “help promote investor confidence and integrity of the securities marketplace.” Read the full press release http://www.sec.gov/news/press/2012/2012-58.htm
Warner's Broker-Dealer and Investment Adviser Industry Group has the largest number of attorneys and other professionals in the state of Michigan dedicated to serving the legal and compliance needs of broker-dealer and investment adviser clients. Our blog, Compliance Corner, provides the most up-to-date information from the SEC, FINRA and state regulatory agencies, which may warrant your careful consideration and immediate action. We also offer compliance tips and best practices. For more information about us, go to wnj.com.
