2014 IAA Lobbying Day
Investment adviser regulation remains in flux
June 13, 2014 @ 7:58 pm
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.
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