Critical steps to fix the examination gap among advisers
One of the most intractable issues facing the advisory business is the severe imbalance in examination frequency between broker-dealers and RIAs.
With the Department of Labor's final fiduciary rule nearing release, much of our industry's attention has rightly been focused on the harmful impacts this sweeping regulation will have on retirement investors and the financial advisers who serve them on a commission basis. Elsewhere in our industry,
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