Heads Up! – The Action in Washington is Heating Up

Heads Up! If any of your practice is RIA based, better keep an eye on Washington today (Tuesday 9/13) because Congress is considering an SRO for your business. Below are a few good sources of information from Investment Advisor and fi360.

Investment News: Proposal for adviser SRO could be unveiled next week
Investment News: GOP throws more tacks in path of fiduciary rule
fi360: Executive Summary, SRO Discussion Draft, “Investment Adviser Oversight Act of 2011”

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