The Hue and Cry for IA-BD Reform

Lets step way back and look at the chronology of events leading to the recent calls for “harmonization” and “rationalization” of adviser and broker-dealer regulation: The idea of an IA SRO has been kicking around since at least 1975, when it was contemplated as part of the 1975 amendments to the Advisers Act. In 1989, […]
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