Business Compliance Partners Provides an Update on the SRO Bill
Jack E. Herstein, President of the North American Securities Administrators Association (NASAA) and Assistant Director of the Nebraska Department of Banking & Finance, Bureau of Securities issued a statement on behalf of NASAA about the “Investment Adviser Oversight Act”, which was introduced by House Financial Services Committee Chairman Spencer Bachus (R-Ala.) and cosponsored by Rep. Carolyn McCarthy (D-N.Y.). San Diego, Calif. (PRWEB) June 20, 2012 Herstein said, “The regulation of investment advisers long has been the shared responsibility of state and federal securities regulators
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