SIFMA suggests self-regulator for adviser-only firms
The Securities and Exchange Commission should consider requiring investment-adviser-only firms to report to a self-regulatory organization, the leading trade group for the brokerage industry said last week.
The Securities and Exchange Commission should consider requiring investment-adviser-only firms to report to a self-regulatory organization, the leading trade group for the brokerage industry said last week.
"The SEC should consider whether investment-adviser-only firms should be subject to S
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