Associations/Trade Groups

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 ...

It's called NEMO or the NASAA Electronic Examination Modules and it's likely that next year a state examiner visiting a state-registered adviser will use it ...

With the clock ticking toward a Sept. 13th date for advisers to mutual funds to comply with the second part of the SEC's play-to-play rule, ...

As lawmakers struggle to keep the government funded past April 8, the Financial Planning Coalition responded after reports surfaced that FINRA has hired former Congressman-turned-lobbyist ...

Should political realities ultimately dictate that FINRA becomes the overseer of advisory firms, the North American Securities Administrators Association would fall into line."NASAA's going to ...

Later this month, NASAA leadership is expected to vote on a model rule that would allow state laws on custody and Form ADV to more ...

The SEC's study giving Congress three options to enhance RIA exams contains a little bit for everybody (see related story). It also gives industry groups ...

The rough ride that was 2008-2009 in the markets rippled through the major financial services trade associations, according to an IA Watch analysis of their ...

The SEC sure is hearing a lot about a subject it hasn't publicly asked the industry to comment on: whether to ask Congress for the ...

The halls of the SEC are busy with organizations entering to influence how the agency translates congressional intent into regulatory action. Another sign of the ...