1,400 pages of unnecessary rules and regulations enforced by trial lawyers? This new DOL rule has to go. It was written by trial lawyers for trial lawyers.
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William R Sykes
9 years ago
The PCAOB audit is not needed. The FOCUS reports suffice!
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Doug Brode
9 years ago
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I have been operating a mutual funds B/D for 32 years on a commission only basis (Class A shares alone). I have 359 highly satisfied clients and on April 10th my business model becomes illegal. Something is wrong here.
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Roger Jones
9 years ago
We filed our Form BDW. PCAOB audit was a cost killer for us.
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William O'Connor
9 years ago
PCAOB audits for small firm, independent is over-reaching.
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Michael Kiley
9 years ago
Stop all the harmful regulations!
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Donald DesPain
9 years ago
Regulation is killing the small broker/dealer!
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Ray Thompson
9 years ago
PCAOB has got to go for small, privately-held introducing firms !!!!
And add to your list "Custody Audits" for dual registrants. What a waste of time and money.
1,400 pages of unnecessary rules and regulations enforced by trial lawyers? This new DOL rule has to go. It was written by trial lawyers for trial lawyers.
The PCAOB audit is not needed. The FOCUS reports suffice!
I have been operating a mutual funds B/D for 32 years on a commission only basis (Class A shares alone). I have 359 highly satisfied clients and on April 10th my business model becomes illegal. Something is wrong here.
We filed our Form BDW. PCAOB audit was a cost killer for us.
PCAOB audits for small firm, independent is over-reaching.
Stop all the harmful regulations!
Regulation is killing the small broker/dealer!
PCAOB has got to go for small, privately-held introducing firms !!!! And add to your list "Custody Audits" for dual registrants. What a waste of time and money.
Keep up the good work