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Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down

As action moves to Congress, a flurry of meetings and Schwab's appearance

Author Elizabeth MacBride January 14, 2011 at 3:05 PM
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Skip Schweiss: "I had in mind that some organization that is familiar with the fiduciary standard practiced by RIAs would set the standards, then perhaps an organization like FINRA could lend its examination expertise/process/infrastructure."

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