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APR 30, 2014 - Financial Planning magazine

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Amid Advisors' Soaring AUM, SEC Chair Eyes Fiduciary Reform & Expanded Exams

SEC Chairman Mary Jo White also lamented the commission's inadequate oversight of the RIA sector amid limited resources and an understaffed team of examiners, telling lawmakers she hopes to expand the examination staff through a $1.7 billion appropriation.

Tags: Amid Advisors' Soaring AUM, SEC Chair Eyes Fiduciary Reform & Expanded Exams,  Sec Latest News