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For first time, state regulators pursue more cases against RIAs than against broker-dealers

Mark Schoeff Jr. | InvestmentNews, October 2018

Summary: Strong growth in the number of registered investment advisory firms brings with it the greater likelihood that they'll be enforcement targets, recent state statistics show.

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For first time, state regulators pursue more cases against RIAs than against broker-dealers

Mark Schoeff Jr. | InvestmentNews, October 2018

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