Associations/Trade Groups

Despite current regulatory disclosure requirements, investors are confused about the fees charged by brokerage firms to service and maintain their accounts, according to a new ...

The key is that regulation must be smart. Dumb regulation manifests itself in a variety of ways: it puts pointless burdens on business, fails to ...

NASAA and the SEC have a long history of working together to provide a robust regulatory environment for businesses to grow and to protect the ...

Four years after the Certified Financial Planner Board of Standards obtained an SEC “no-action” letter (IA Watch, March 21, 2011) permitting investment advisers and broker-dealers ...

With signs that the Department of Labor moves ever closer to proposing a new fiduciary standard under ERISA, the Institute for the Fiduciary Standard Jan. ...

The timing couldn’t be better for the Investment Company Institute’s new 24-page Report on Funds’ Use of Proxy Advisory Firms, given that OCIE just listed ...

This 2014 no-action letter from the SEC permits investment advisers and broker-dealers to share documents with the Certified Financial Planner Board of Standards without fear ...

Members of the Investment Adviser Association can give thanks for another good year in 2013, according to the non-profit’s latest IRS-990 filing obtained by IA ...

Schemes involving digital currency and cybersecurity risks, binary options, marijuana-related businesses and stream-of-income investments top the list of emerging threats investors will likely face in ...

There was a “significant” rise in the number of enforcement actions initiated by state securities regulators against licensed broker-dealer sales agents last year. In its ...