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Advisor vs. Advisor: Two RIAs and two brokers advocate [a total of] four different ways of earning fees and caring for clients

Comment boards: Advisors argue separately for principles-based care, non-principles-based care, 12(b)-1 fees and their eradication

Author Elizabeth MacBride August 19, 2010 at 4:19 AM
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What if the free markets, the SEC and the Department of Labor all drive in different directions?

RIA Compliance



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