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To: Professional
"I work in finance. We are required by regulators to not use text, email, legally required to keep records readily available for 3 years, hard copies for 7...."

Pro, I doubt the House and Senate could comply with Sarb-Ox, let alone Dodd-Frank or possibly even pass a U-4 background check. And they are giving everybody in the "biz" all this compliance garbage when they can't even comply themselves? The hypocrisy is stunning...

43 posted on 02/09/2018 11:34:41 PM PST by taildragger ("Do you hear the people Singing? Singing the Song of Angry Men!")
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To: taildragger

How about how they limited, or eliminated licensed advisors from donating to political campaigns? I’m required to disclose any contribution to my bd and have to file a report every quarter whether I did or didn’t. I suspect it’s because they know we are a very conservative group.


48 posted on 02/10/2018 5:50:17 AM PST by Professional
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