Sharknado - SEC Targets Landsharks, Congress Those At Sea |
| August 16, 2017 | August 2017 Bond Updates |
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Why does retail fraud seem so rampant? One reason, is the Dodd-Frank Act. It directed the SEC to de-register small retail investment advisers - leaving responsibility for these providers to states - where oversight and enforcement practices are inconsistent, unreliable and strapped for resources. |
| View more at: http://www.forbes.com/sites/rosemaryfanelli/2017/08/15/sec-targets-landsharks/ |
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