Updated Friday, April 18, 2014 as of 7:21 PM ET
Practice - Regulatory/Compliance
Why Doesn't the RIA Community Come Up With Better Proposals?
Saturday, September 1, 2012
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When you look at the regulation of registered investment advisory firms, what do you see? You see a big pain in the neck. You see a whole lot of vague guidelines that are enforced subjectively when an examiner - who often knows nothing about your business - comes into your office. You see a fundamentally hostile relationship between regulator and regulated.

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