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An in-depth analysis of FINRA's attempted takeover of RIAs and why the group should be disbanded, Part 2

FINRA's aim is to stamp out small RIAs that compete with its large Wall Street firms. Don't let it happen, pleads NAPFA's new chairman

Thursday, May 31, 2012 – 5:24 AM by Guest Columnist Ron Rhoades
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Ron Rhoades: "Suitability" is a failed doctrine. FINRA itself is a colossal failure, by any measure.

SEC

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NAPFA

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FPA

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FINRA

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SIFMA

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FSI


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August 2, 2019 – 12:48 AM


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




Steve Thomas

Steve Thomas

June 1, 2012 — 8:59 PM

Right on Ron!!

jwb

jwb

June 1, 2012 — 9:31 PM

Ron has put together a comprhensive and accurate analysis, and his recommendation to disband FINRA makes sense.

Jeff mcClure

Jeff mcClure

June 3, 2012 — 8:37 PM

Whoa! This is the best summation of FINRA’s role in the real world I have ever seen! Now, how do we get members of Congress to read it?

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