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(Updated) SEC presses case for user fees in much-anticipated report to Congress

While giving downsides for the idea of an SRO to govern advisors, the SEC opens the door for Congress to consider all options

Author Elizabeth MacBride January 20, 2011 at 2:36 PM
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SEC Report: Imposing user fees would avoid the difficult scope of authority, membership, governance, and funding issues raised by an SRO.

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FINRA

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IAA

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SRO



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