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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

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

RIA Compliance

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


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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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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