Articles tagged "NASAA"
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How many RIAs are there? No, seriously, how many?
Competing counts are full of 'bastardized' definitions of 'advisor,' state vs. SEC- vs. dually registered IARs, differing study criteria and agendas
November 11, 2015 at 7:57 PM
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
September 19, 2014 at 5:39 PM
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
July 17, 2012 at 3:53 PM
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
June 15, 2012 at 2:45 AM
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
April 9, 2012 at 5:58 AM
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
October 17, 2011 at 3:17 AM
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
September 26, 2011 at 4:03 AM
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
September 28, 2010 at 3:58 AM
Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight
SEC announced time frame for proposed rules
September 23, 2010 at 6:12 AM
When it comes to senior investors, regulators are breathing down your shoulder
A Colorado advisor who oversold hedge funds may pay a price
September 21, 2010 at 3:26 AM
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
September 16, 2010 at 2:21 AM
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
August 25, 2010 at 12:56 PM
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
July 26, 2010 at 3:36 AM
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
June 4, 2010 at 5:02 AM
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
