Investment adviser regulation remains in flux

June 13, 2014 @ 7:58 pm

Runtime: 1:51

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.


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