Articles tagged "NASSA"
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Deadline for state registration may have shifted; SEC's Robert Plaze offers clarity
It's nice, but it's not a rule, say compliance experts, regulators frustrated by amorphous situation
April 12, 2011 at 2:48 PM
Most RIAs prefer to pay money for SEC exams now than pay in blood later under an SRO
TD Ameritrade survey comes as resistance to FINRA empowerment wells up from wide array of organizatioms
December 10, 2010 at 4:40 AM
The biggest questions about the switch to state oversight: You tell us
RIABiz posts its first reader survey on an issue affecting a massive number of RIAs
December 7, 2010 at 5:13 AM
Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate
Plus: a Washington outsider's view of reform; and FINRA's Ketchum on new fraud focus
May 28, 2010 at 4:37 AM
Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers
Amendment under fire from state securities regulators, Consumer Federation
May 14, 2010 at 11:07 PM
The suitability standard, defined
If you've wondered, as we have, exactly what it says, wonder no more
