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States Increase Oversight of Advisors

Saturday, Nov 09 2013

Regulatory & Compliance

Written by PFA News

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State regulators are increasing their scrutiny of advisors, a result, in part, of the Dodd-Frank Act. So reports FinancialPlanning.com.

The law requires that smaller advisors register with state regulators.

Read the full article from FinancialPlanning.com.

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