Investment adviser regulation remains in flux

Jun 13, 2014 @ 12:00 am

Runtime: 1:51

RIAs don’t want to be regulated like broker-dealers and they “sure as hell” don’t 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.

0
Comments

What do you think?

Video Channels

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

Recent Events

IMPACT 2015

Tuesday, Nov 10, 2015

Women Adviser Summit

Thursday, Nov 5, 2015