Tales of Regulatory Over-reach

Bob Veres has an excellent blog article (as always) about stories he has been hearing from advisors regarding regulatory examination issues that do not make sense. Bob is asking advisors for advisors help that can hopefully create a check and balance that speaks on behalf of the profession.

Please send him any stories you might have about recent examinations that other advisors should know about, and especially those that we should be outraged over.  What should others be watching out for? And if you and your firm have been through an SEC or state audit that produced an outcome that makes no regulatory sense, please give me the story so I can collect and publish them for the full community.

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Post source : Inside Information Blog