Associations/Trade Groups

Three in four respondents to a new survey clicked off that cybersecurity's one hot topic. "That's probably the highest percentage we've ever had for a ...

As some predict the SEC will not press a new fiduciary duty standard (see story on page 1), advocates of a standard that matches the ...

It won't happen for another year but last week David Tittsworth, the executive director of the Investment Adviser Association, announced he will be voluntarily stepping ...

With the holidays passed, the SEC remains in a gift giving mood. The Commission announced last week that compliance with the final municipal advisor registration ...

This is a final rule issued by the SEC in early 2014 to extend the deadline for municipal advisors to register until July 2014.

Hoping to feed momentum following last month's vote by the Investor Advisory Committee urging the SEC to request user fee legislation (IA Watch, Dec. 2, ...

As press reports state that the Financial Stability Oversight Council may be thinking of labeling two of the largest RIAs to be systemically important, two ...

The movement of some 2,100 RIAs to state registration explains a 27% increase in licenses withdrawn due to state enforcement actions, according to NASAA. Licenses ...

Because of a deadline extension, it was late summer before the Investment Company Institute filed its latest Form 990. The IRS document covers Oct. 2011 ...

State examiners flexed their muscles after "the Switch" to demonstrate they were up to the task of overseeing some 2,100 mid-sized RIAs that now fall ...