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Content Tagged with finance + ria

SEC Publishes Text of RAND Report

Examine investment advisers' and broker-dealers' practices in marketing and providing financial products and services to individual investors and to evaluate investors' understanding of the differences between IAs' and BD's financial product

RIA: del.icio.us/tag/RIA

Registered Investment Advisor (RIA) Compliance Consultants

<sep/>representative (also known as an "IAR") of a registered investment advisor firm (also known as an "RIA"), most state securities regulators require the individual to ...

RIA: del.icio.us/tag/RIA