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RIA loyalists slam the SEC for playing into FINRA's darkest characterizations of haplessness

Is the Securities and Exchange Commission asking for more cash to examine RIAs, getting it, then spending it on other priorities?

Author Lisa Shidler March 1, 2013 at 7:05 AM
0 Comments
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Skip Schweiss: Why one exam every five months? I'd still like that question answered.

RIA Compliance



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August 5, 2020 at 9:33 PM

Another A-list RIA Schwabbie lands on his feet -- this time at DeVoe & Co. -- after TD Ameritrade merger displacement of 2,000-plus

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May 10, 2024 at 1:29 AM

A canary in the coal mine, Amy Richardson left Charles Schwab & Co. for an RIA -- before the 2,000 layoffs -- now a robust job market is saving the Schwab diaspora, she says

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December 20, 2023 at 1:52 AM

Schwab 2,000-layoff aftershocks roil the industry as it's revealed top tech talent -- led by widely regarded veteran Kartik Srinivasan -- were axed, raising questions about future of Schwab innovation

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November 3, 2023 at 3:49 AM

See more related moves

Mentioned in this article:

MarketCounsel | HamburgerLaw
Compliance Expert, RIA Set-up Firm, Regulatory Consultant
Top Executive: Brian Hamburger

TD Ameritrade
Asset Custodian
Top Executive: Tom Nally



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