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Why RIA Advocates Still Fear FINRA Oversight
FinancialPlanning; free registration requiredLink to more items from this source
Mar. 5, 2015

"There is no consensus within the SEC for how to address advisor oversight. Both the user-fee proposal and the idea of tapping FINRA or some other self-regulatory organization to examine advisory practices would require an act of Congress. But last year, Commissioner Daniel Gallagher floated the idea of the SEC acting on its own authority to require advisors to engage a third party, such as an accounting or auditing firm, to review their practices."

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