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GAO study puts insurance agents up for scrutiny as it rejects idea of sweeping RIAs, b-ds, planners into one regulatory pool

A disappointment to those advocating for a financial planning profession, the study details the hodgepodge of regulation without recommending major changes

Author Elizabeth MacBride January 19, 2011 at 3:51 PM
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Chuck Moran, of the CFB Board of Standards board of directors: “We were looking for a more definitive recognition of financial planning."

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Mentioned in this article:

Investment Adviser Association
Asset Manager for RIAs
Top Executive: David G. Tittsworth




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