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Crossing the Street Blindfolded

April 5, 2015




Thanks to the SEC, we have a snapshot of the countless rules that bank holding companies must comply with. RFG has highlighted a "few" rules we think could apply to investors and managers. Of course, some rules can go either way depending on a firm's activities. But: the chart would be even more densely packed if it included state, foreign and a complete list of U.S. federal requirements.  

Being unaware of these laws is like crossing the street blindfolded. 


Source image: http://www.sec.gov/news/speech/2015/financial-services-holding-companies-rules.pdf

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