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The majority of RIAs say the move to zero commissions would not influence their decision to use ETFs versus mutual funds, according to a TD Ameritrade survey.
The concerns were raised in a report released by the SEC's Office of Compliance Inspections and Examinations detailing its priorities for exams in 2020.
Prosectors claim that Richard T. Diver misused his position as manager of M&R Capital Management's payroll and billing to divert about $6 million to his own account.