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A better way to regulate RIAs?
By Nick ThorntonThe SEC audited 10 percent of RIAs in fiscal 2014. Many believe that's too few.
With 401(k) litigation increasing, plan advisors and plan sponsors need to know the latest laws as well as strategies attorneys are using to sue employers and advisors. BenefitsPRO's legal coverage includes news, analysis and updates on cases.
The SEC audited 10 percent of RIAs in fiscal 2014. Many believe that's too few.