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May 19, 2014

Joan Neri Quoted in 401kWire

Joan Neri discussed FINRA’s recent rollover guidance and its impact on registered investment advisers (RIAs).  Joan observed that FINRA sets a high standard for suitability in its guidance and that RIAs who are ERISA fiduciaries need to pay attention. 

To read the entire article in 401kWire, click here.

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