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Why FINRA's power grab for RIAs needs to be stopped to avert the death of the profession, Part 1

Looking back from the year 2025, the author recounts how FINRA seized regulatory control and crushed the life out the once-thriving RIA channel

Wednesday, May 30, 2012 – 4:37 AM by Guest Columnist Ron A. Rhoades
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Ron Rhoades: FINRA was already an expert at protecting its large Wall Street firms from competition.

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Mentioned in this article:

National Association of Personal Finance Advisors
Association
Top Executive: Geof Brown, CAE

Financial Planning Association
Association
Top Executive: Lauren S. Schadle, CAE, Executive Director and CEO




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