Associations/Trade Groups

'The rule proposal is not needed.' Principal 'traders are already subject to anti-fraud and anti-manipulation provisions of the Exchange Act'

Association agrees amendments can reduce the credit, market and liquidity risks in securities transactions

Luck graced the IAA to some extent, given it was able to hold its large Washington, D.C. annual conference in early March, just days before ...

Other actions firms plan to take include to develop a detailed guidebook for staff containing compliance do’s and don’ts and to write new P&Ps governing ...

The number of individual investors working with advisers has grown nearly 40% over the past two years

In its first “formal communication” with new SEC Chairman Gary Gensler, the Investment Adviser Association lays out a regulatory agenda that ranges widely from calling ...

This is NASAA's checklist to help IAs with cybersecurity

While the Investment Adviser Association in Washington, D.C., supports “the goals of their CE requirements,” NASAA’s claims that IARs suffer from an educational gap “is ...

The association asserts that "NO personal information has been compromised”

Investment advisers have widely panned the Trump Administration’s efforts to rein in sustainable investments. Under rules proposed by Department of Labor officials June 30, pension ...