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How the SEC is poised to hand RIAs the keys to the $1.3 trillion private placement market -- largely at the expense of stockbrokers

Dodd-Frank kicked off a series of events that demanded a more rational way to define the sophistication of investors and who is best able to judge investments that don't have prospectuses

Wednesday, July 20, 2016 – 9:54 PM by Irwin Stein
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James Dowd: There is no correlation between an investor's income and net worth and their investment sophistication.

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