2014 IAA Lobbying Day
Investment adviser regulation remains in flux
June 13, 2014 @ 7:58 pm
RIAs donít want to be regulated like broker-dealers and they ďsure as hellĒ donít want to be regulated by Finra, according to Neil Simon of the IAA. Advisers have fended off several unpopular rules, but advocates say RIAs must remain vigilant.
InvestmentNews Custom Media is responsible for the production of this content, which underwritten by TD Ameritrade Institutional. It does not reflect the views of the InvestmentNews editorial staff.TD Ameritrade Institutional