Associations/Trade Groups

Only a few months after the SEC charged an investment adviser with falsely claiming compliance with the Global Investment Performance Standards (IA Watch, June 2, ...

The number of RIAs that participate in wrap fee programs is increasing. More firms are receiving compensation for client referrals. Nearly all investment advisory firms ...

Finding out how your compensation compares with your peers – locally and nationally – is now but a click away. Announcing IA Watch’s and NSCP’s ...

The NASAA has released preliminary findings from its annual enforcement survey. The highlight: cases stemming from state securities regulators in 2013 resulted in 33% higher ...

Karen Barr, the long-time general counsel of the Investment Adviser Association, will succeed retiring head David Tittsworth, the IAA has announced. Tittsworth revealed earlier this ...

A major stumbling block preventing serious consideration of a user fee bill to pay for more SEC exams of advisers has been the lack of ...

Securities regulators, broker-dealers and other financial institutions will form a working group to figure out how to make brokerage fee disclosures easier for investors to ...

The new president of the North American Securities Administrators Association began his one-year term last week and simultaneously announced action on one of his stated ...

State-registered investment advisers still have work to do when it comes to cybersecurity practices, reveals a new survey from the North American Securities Administrators Association. It ...

This month, the Investment Company Institute released its annual look at 401(k) fees, finding that the downward trend begun this century continues. There has been ...