Robert T. Mann Comment On Regulatory Notice 25-07 Robert T. Mann Owner Wealth manager, broker-dealer Re reducing regulatory burden:Eliminate the monthly Focus filing requirement for small, fully disclosed investment firms.Eliminate the PCAOB required CPA to do the annual audit for FINRA, and the SEC.Reduce the length of time FINRA takes to do the periodic firm exam remotely.
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Robert T. Mann Comment On Regulatory Notice 25-07
Re reducing regulatory burden:
Eliminate the monthly Focus filing requirement for small, fully disclosed investment firms.
Eliminate the PCAOB required CPA to do the annual audit for FINRA, and the SEC.
Reduce the length of time FINRA takes to do the periodic firm exam remotely.