Business Management for Independent Financial Advisors
Here’s the December Issue:
http://www.transitions-mag.com/dec_2009.html
Or, if you prefer a pdf:
http://www.transitions-mag.com/Dec-2009.pdf
Categorized | News & Information
Through a partnership with Transitions Magazine for Advisors
Posted on 07 December 2009
SEC News
- SEC Charges New Jersey Investment Adviser in Multi-Million Dollar Offering Fraud
- SEC Adopts Temporary Rule Requiring Municipal Advisors to Register With Agency
- SEC Charges Pinnacle Capital Markets for Deficient Customer Identification Program Procedures
- SEC Charges Two Accounting Professionals at Milwaukee-Based Company with Fraud
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