Associations/Trade Groups

Washington may be struggling with its financial obligations but the investment advisory profession continues to prosper - for firms and their clients. The latest annual ...

The trend line keeps heading upward at the Investment Adviser Association. According to its newly filed IRS Form 990, the IAA's revenues grew nearly 6% ...

If the SEC hadn't heard loudly enough that RIAs oppose harmonizing IA and broker-dealer rules (see related story), Schwab drove home the point with new ...

The CFTC last week avoided a fate that twice has befallen the SEC - having its rulemaking rejected for conducting deficient costs and benefits analyses. ...

You knew it wouldn't be long before the battle over a change in the fiduciary duty standard arrived at the desk of new SEC Chair ...

One of the specific Dodd-Frank reforms that affected advisers was the so-called Switch, mandating that certain advisory firms that manage under $100 million in assets ...

The range of opinions in response to the proposal made by Massachusetts securities officials to mandate a criminal background check of reps extends from a ...

Last week NASAA joined the fight by FINRA to reverse a hearing panel's approval of use of an arbitration clause banning class-action lawsuits (IA ...

This is news worthy of a tweet. The SEC says "certain interactive content" posted to social media sites by mutual fund advisers need not be ...

Last year is acknowledged as the most expensive for political campaigning in the nation's history and the financial services industry did its part. While Goldman ...