FINRA emerges as the most likely candidate to oversee RIAs

10/11/2010 | InvestmentNews (free registration)

The Securities and Exchange Commission is facing a staffing challenge as it tackles responsibilities in the Dodd-Frank Act. Officials in the investment industry are becoming more convinced than ever that the Financial Industry Regulatory Authority will take on more oversight of registered investment advisers. However, some said such advisers would not be happy about the change.

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