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Articles tagged "NASAA"


Jack Waymire: Our cause for concern was the number of advisors who did not appear to have accessible compliance records.

Can advisors keep their dirty compliance laundry in the closet thanks to lack of NASAA, SEC and FINRA coordination?
Mostly not but Jack Waymire and Brian Hamburger flesh out the issue with the right questions and answers

Friday 9.19.14
Les Abromovitz: Policies and procedures can protect elderly clients who exhibit signs of a cognitive impairment.

Older investors' complaints deserve -- and receive -- special scrutiny from regulators
Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions

Tuesday 7.17.12
James Carville lent his big presence and Louisiana accent to a small event with large ambitions.

TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella
Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies

Friday 6.15.12
Les Abromovitz: If you ignore securities regulators' priorities ... you're likely to get dealt a bad hand during an exam.

The SEC will often 'tell' advisors what compliance issues deserve attention
The agency has its own ways of communicating what gets on its regulatory nerves

Monday 4.9.12
Daniel Bernstein: No one should be running their businesses on stuff which may never come to fruition.

The dark side of the 'good' regulatory changes get scrutinized at MarketCounsel Summit 2011
Advisors may get much of what they wish for but in reality it may not be so good

Monday 10.17.11
Brian Hamburger, founder of MarketCounsel's Member Summit 2011, expects 200 advisors with between $100 million and $1 billion in assets

MarketCounsel, CFDD, T3 and Schwab vie for advisors to attend their fall conferences
As competition for RIA time and money grows, many events are catering to more defined niches

Monday 9.26.11
Melanie Senter Lubin: Maryland's securities chief says state regulators are pressing the SEC to offer guidance to advisors.

It's looking official: Advisors switching to state oversight to face many more audits
State securities regulators, SEC issue first solid answers on some commonly asked questions for 4,000 advisors in limbo

Tuesday 9.28.10
Compliance expert Cathy Vasilev says many of her clients are beginning to worry about whether they will be able to register with the states by the July 21 deadline.

Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight
SEC announced time frame for proposed rules

Thursday 9.23.10
Les Abromovitz: Some advisers designate one particular person who is responsible for addressing questions pertaining to seniors.

When it comes to senior investors, regulators are breathing down your shoulder
A Colorado advisor who oversold hedge funds may pay a price

Tuesday 9.21.10
Speaker of the House Nancy Pelosi and House Minority Leader John Boehner

Signed, sealed, delivered: Fiduciary advocates hope SEC takes their new survey for gospel
In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins

Thursday 9.16.10
Denise Voigt Crawford: Advisors who haven't had an SEC audit recently -- or ever -- should expect an examiner's knock on the door soon after they switch to state oversight.

What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation
It could impose most on advisors spread out across multiple states

Wednesday 8.25.10
Kristina Fausti: We've entered a new regulatory era that calls for greater transparency and accountability.

How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation
The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies

Monday 7.26.10
The SEC says fraud costs $40 billion a year

Regulatory Wire: CREW report criticizes the SEC and blasts its chairman, Mary L. Schapiro, for being slow to fight fraud
Measures against the Bernie Madoffs, Kenneth Starrs called insufficient; accountants on extensible business reporting language; and a strong letter from NASSA

Friday 6.4.10
House and Senate financial reform bills would shift 4,000 RIAs to state oversight, but the SEC still has questions about states' resources.

Regulatory Wire: Two Senators may take on fiduciary fight, but how hard will the Obama administration push for the standard?
Plus, Doubts about state regulators' resources; a possible reprieve for California RIAs; and Schumer's under pressure on SEC funding

Friday 4.16.10

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