Associations/Trade Groups

If you're sure your firm will have to make the move from SEC to state registration next year, know that although June 28, 2012 serves ...

It was a busy year for state enforcers. According to NASAA's 2010 Enforcement Report, more than $12 billion was returned to aggrieved investors (a 200% ...

Their voices may not reach the decibels of those occupying Wall Street - nor do their numbers - but more than 70 persons and organizations ...

It's recommended you train supervisors on how your firm uses expert networking consultants and how they can "escalate any material issues" to your leadership, SIFMA ...

Every two years, NASAA releases a compilation of exam results and the latest version shows it means business in taking over thousands of new advisers ...

You may want to advise your clients to be on the lookout for too-good-to-be-true scams masquerading as legitimate investments on social media sites. NASAA has ...

In the 11 years that the Investment Adviser Association and National Regulatory Services have chronicled trends affecting RIAs through its annual Evolution/Revolution surveys they've never ...

We've established before that trade associations were buffeted by the same turbulent tides as the industry during the financial crisis. The latest IRS Form 990 ...

Perhaps it's not revelatory, given Dodd-Frank and new SEC regulations, that the latest annual survey of RIAs from the Investment Adviser Association finds that fewer ...

The market rollercoaster of 2009 took trade associations for a ride, too. IA Watch has examined the newly filed IRS Form 990 for the Financial ...