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Regulatory Wire: Everything an RIA needs to know about the reform agenda in Washington

If major change doesn't occur, it won't be for lack of effort

Author Sara Hansard April 9, 2010 at 6:20 AM
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Legislators haven't been under this much pressure to reform financial services since after the Great Depression.

Cambridge Investment Research

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Raymond James

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LPL

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Royal Alliance

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Cetera

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Capital Analysts

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Commonwealth Financial Group

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Regulatory Wire

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brokersXpress LLC



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Mentioned in this article:

LPL Financial
RIA-Friendly Broker-Dealer, RIA Welcoming Breakaways, Advisory Firm
Top Executive: Dan Arnold

Raymond James Financial Inc.
Asset Custodian
Top Executive: Bill Van Law

Cetera Financial Group
RIA-Friendly Broker-Dealer
Top Executive: Larry Roth



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