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Articles tagged "North American Securities Administrators Association"

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Scott Brown: Before there was more flexibility for how to calculate assets under management. This enabled certain advisers to opt in or out of federal or state regulation and circumvent the legislative intent of the rule.

Cheat sheet for recent SEC regulatory changes and amendments

Why 'assets under management' are now 'regulatory assets under management'

July 7, 2011 at 2:25 PM
David Tittsworth: I feel alone out there a lot of the time.

Testy words pass between advisors and regulatory panelists at MarketCounsel conference

RIAs are shocked by how bad things have gotten in Washington

November 19, 2010 at 7:30 AM
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