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The brokerage regulator settled two cases related to the SEC’s rule this week; one securities attorney believes FINRA has now established itself as the “primary regulator” of the rule.
Historically, the real estate investment manager relied on independent broker/dealers to reach private wealth. It wants to diversify both its distribution and its investment offerings.
It was a remarkable week in the already indefatigable RIA market, with at least 14 deals announced, two new launches and more than $22 billion in transacted assets.