HOLLYWOOD, Fla. -- A slew of recent regulatory shifts is keeping examiners busy -- and advisors must know how to react when they get a call from FINRA or the SEC. "The current regulatory landscape is extremely turbulent after Madoff and the financial crisis," says Joan Schwartz, managing director at Pershing, who led a panel on regulatory exams during the firm's INSITE conference in Hollywood, Fla.
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