FPA, NAPFA and IAA to fight SEC’s pop-quiz proposal
The financial advisory industry is bracing for a battle over the Securities and Exchange Commission's efforts to subject thousands of investment advisers to surprise exams by outside auditors.
The financial advisory industry is bracing for a battle over the Securities and Exchange Commission's efforts to subject thousands of investment advisers to surprise exams by outside auditors.
SEC commissioners on May 14 voted 5 to 0 in favor of a proposal that would require the roughly
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