Nov 29, 2012

The Future of RIA Regulation

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The current economic landscape can be partly associated to investor confusion and various missteps regulators and the industry may have taken. Daniel Bernstein, director of research and development at MarketCounsel, says that self-regulatory organizations (SROs) should go, with regulation put in the hands of the SEC, private sector, or fee-based paid investment advisors whose fees will fund the examination group of the SEC.