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SEC Needs to Fix Longstanding 'Mismatch' in Broker-Advisor Data to Advance Fiduciary Rule
fi360 Link to more items from this source
May 19, 2014
"For far too long the [SEC] has failed to calibrate examination and enforcement data comparing inspection cycles and resulting enforcement violations between brokers and investment advisors. The mismatch in data collection and analysis can and should be fixed as critics of a fiduciary standard, in search of another trope, continue their calls for delaying or ending the SEC's consideration of a fiduciary rule."

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