Updated Wednesday, July 30, 2014 as of 11:19 AM ET
Practice - Regulatory/Compliance
FINRA Chief Welcomes Alternate Plan for Advisor Oversight
Wednesday, May 21, 2014

WASHINGTON -- FINRA may have dropped its lobbying campaign for legislation to expand oversight of investment advisors, but the industry regulator is interested in a new proposal from one SEC commissioner to beef up examinations of the RIA industry.

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