Tag Archives: Dodd Frank Financial Reform Bill

A little oversight from the state isn’t so bad

November 1, 2012


It’s hug your regulator day! When I first started my business in 1993, I filled out the paperwork to become a registered investment advisor in the State of Mississippi. As a small start-up, I was put under the watchful eye of the Secretary of State’s Office. On three occasions, auditors showed up at my door, […]

Continue reading...