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Most RIAs prefer to pay money for SEC exams now than pay in blood later under an SRO

TD Ameritrade survey comes as resistance to FINRA empowerment wells up from wide array of organizatioms

Author Elizabeth MacBride December 10, 2010 at 4:40 AM
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SEC headquarters has seen plenty of traffic lately, as companies and lobbying groups send execs aiming to influence a pending report on advisor oversight.

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FINRA

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AICPA

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IAA

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ICI

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NASSA


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