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Home>TD's Bradley: SEC Does HAVE The Resources To Oversee RIAs

TD's Bradley: SEC Does HAVE The Resources To Oversee RIAs

Evan Simonoff's FA Blog

Thu, 13 Oct 2011

After oversight of RIAs with less than $100 million in assets under management is transferred to the states, the SEC will have 18 to 20 examiners for every RIA firm with over $100 million in AUM, according to TD Ameritrade Institutional CEO Tom Bradley.

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