Associations/Trade Groups

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 ...

It's a long way from the Philippines to a jail cell in Alabama but Scott Alan Frye knows the journey well. This month the fraudster ...

The Investment Company Institute and the U.S. Chamber of Commerce have announced they plan to appeal last month's loss in challenging the CFTC's new rule ...

There has been a big increase this year in Internet domain names that contain the word "crowdfunding," according to an analysis by state and Canadian ...

A U.S. District Court judge last week sided with the CFTC in allowing its final rule to go forward that will force many advisers to ...

Dodd-Frank cost SIFMA some cash. In the year after Congress passed the landmark financial reform legislation, the association spent half of its reserves, or $12 ...

The SEC has released a list of 293 mid-sized advisory firms that haven't complied with its rules for shifting over to state registration. These firms ...

A new report from NASAA puts enforcement actions against investment advisers at the top of its list for 2011. The number of cases brought against ...

the Investment Adviser Association's latest IRS 990 filing shows an improving financial condition. It wasn't the only trade association temporarily knocked askew by the financial ...

Hours before the SEC was to take up a proposal to loosen restrictions on the advertising of private offerings, NASAA repeated its opposition to the ...