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Senate proposal pushes most RIAs one step closer to state regulation

Senate and house bills now both seek to wrest 75% of RIAs away from SEC oversight

Author Elizabeth MacBride March 16, 2010 at 5:08 AM
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Kristina Fausti: The legislation adds some consumer protections and oversight of the SEC.

Women of Wealth Management



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November 18, 2022 at 2:56 AM


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Investment Adviser Association
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Top Executive: David G. Tittsworth



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