Updated Sunday, April 20, 2014 as of 7:27 PM ET
Practice - Regulatory/Compliance
SEC Panel Approves RIA Fee, Uniform Fiduciary Proposals
Friday, November 22, 2013
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WASHINGTON -- An SEC advisory committee on Friday recommended that the commission appeal to Congress for authority to collect user fees from advisors to enhance its oversight of the RIA sector and enact rules to tighten regulation of broker-dealers.

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