IA Latest News

This month some advisory firms are getting a surprise visit and chances are it's not a jolly old man in a big red suit. Accountants ...
You have a few months before the SEC's pay-to-play rule kicks in (IA Watch, Dec. 13, 2010), which gives you time to put in place ...
The SEC claims attorney Jonathan Bristol not only represented his client, accused swindler Kenneth Starr and his RIA Starr Investment Advisors ($1.2B in AUM) in ...
It's widely assumed RIAs would reject an SRO - especially if it were FINRA - but even the SEC wants to see evidence. So TD ...
Here's a hint: F-I-N-R-A. In the latest twist in the larger tussle over who will ultimately oversee RIAs, FINRA has sent the SEC a five-page ...
The rough ride that was 2008-2009 in the markets rippled through the major financial services trade associations, according to an IA Watch analysis of their ...
Want another instance illustrating the difference between investment advisers and broker-dealers? Arbitration clauses. B-Ds are permitted to hold clients to binding arbitration of disputes; RIAs ...
The internal working groups of key SEC personnel responsible for congressionally mandated studies of the fiduciary duty standard and a possible SRO for advisers hosted ...
The SEC's new pay-to-play rule keeps touching off questions (IA Watch, Nov. 22, 2010). The latest is whether a foundation or endowment of a public ...
It seems appropriate that a new SECsweep letter probing use of electronic media should appear out of the ether. IA Watch has obtained what's described ...
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