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Dale Brown tells RIAs why SEC's fiduciary standard is too costly for their clients

Invoking his own parents' small nest egg, the FSI chief projects a 2015 Finra takeover of SEC duties for RIAs

Friday, April 26, 2013 – 4:26 AM by Guest Columnist: Jimmy Moock
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Dale Brown: The SEC recognizes that working to harmonize standards is a good PR effort to improve its standing among consumer groups.

Related Moves

As RIA M&A continues to go ballistic, Gladstone Group makes consultant out of Derek Bruton -- with an 'enterprise' wrinkle

The Plymouth Meeting, Pa., deal shop has fintech and asset managers reaching out for RIA advice, in addition to scores of RIAs trying to decide whether to pull the trigger.

January 6, 2022 – 6:21 PM



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