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Fred Reish for TD Ameritrade Institutional
Aug. 10, 2018
16 pages. "While the RIA Interpretation is consistent with recent statements and enforcement activities by the SEC, it may require changes by RIAs -- particularly concerning disclosures of conflicts of interest.... This paper focuses on the RIA Interpretation and its impact on investment advisors. In addition, this paper briefly discusses the proposed Form CRS relationship summaries and highlights some of the provisions that impact RIAs. It also addresses the question: What should investment advisors do now?"
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