Associations/Trade Groups

The new president of the North American Securities Administrators Association has laid out three top initiatives for the association and they all affect investment advisers. ...

Copy of the letter supporting a fiduciary standard as part of 2009 lobbying effort by the Investment Adviser Association, among other groups.

In reforming financial services regulation, Congress should set up a new oversight board that would report to the SEC and be responsible for setting and ...

The political jockeying over the investment advisers' fiduciary and broker-dealers' suitability standards bubbled up last week with a letter from Fund Democracy and the Consumer ...

In letters and speeches, investment industry advocates are lobbying Congress on how to pursue a potential harmonization of regulations governing investment advisers and broker-dealers. IA ...

One way to relieve worries about dual registrants that self-custody client assets would be for the SEC to do a combined investment adviser and broker-dealer ...

Future financial debacles could be avoided if Congress creates a "systemic risk regulator" and combines the SEC and the CFTC into a new "capital markets ...

More reporting to governmental regulators, "increased transparency of systemically significant positions and risk exposures," disclosure of short positions, new policies to fight naked shorting and ...

The business community has put its stamp on reforms it would like to see within the SEC in a 92-page report, Examining the Efficiency and ...

Last week the North American Securities Administrators Association urged Congress to return to state regulators the ability to go after banks for security violations and ...