Updated Monday, July 28, 2014 as of 8:27 AM ET
Practice - Regulatory/Compliance
Amid Advisors' Soaring AUM, SEC Chair Eyes Fiduciary Reform & Expanded Exams
Wednesday, April 30, 2014
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WASHINGTON -- Investment advisors and brokers remain a key area of concern for SEC regulators, with the agency's head telling a House panel that she plans to advance a proposal for potentially expanding fiduciary responsibilities later this year.

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