Why does retail fraud seem so rampant? One reason, is the Dodd-Frank Act. It directed the SEC to de-register small retail investment advisers - leaving responsibility for these providers to states - where oversight and enforcement practices are inconsistent, unreliable and strapped for resources.
Why does retail fraud seem so rampant? One reason, is the Dodd-Frank Act. It directed the SEC to de-register small retail investment advisers - leaving responsibility for these providers to states - where oversight and enforcement practices are inconsistent, unreliable and strapped for resources.
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