Associations/Trade Groups

Cybersecurity-related deficiencies are “a top concern” of securities examiners across the North American Securities Administrators Association’s jurisdictions. That alarm bell sounded in NASAA’s Investment Adviser ...

It was last year at this time that the North American Securities Administrators Association released its first-ever snapshot of the state-registered IA population (IA Watch, ...

With the SEC mired in figuring out whether to clarify fiduciary duty standards, the agency may wish to consider one hiding in plain sight. The ...

A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new heights. NASAA’s annual ...

According to its newly-published IRS-990 form, the Investment Adviser Association’s revenues in 2017 grew 6.4% over the previous year. At the same time, its payroll ...

Thanks to a roaring stock market, SEC-registered investment advisers collectively manage more than $82 trillion in assets – a 16% gain over the previous year, ...

The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to ...

Investment adviser execs are bullish about their business prospects and foresee substantial increases in headcount and AUM over the next one year and three years, ...

“Operation Cryptosweep” sounds like the latest Tom Cruise Mission Impossible summer blockbuster. In reality, it’s one of the largest coordinated series of enforcement actions by ...

The number of state-registered investment advisers and SEC notice-filed IAs have increased in 2017-2018, according to the first-ever annual report snapshot of the state-registered investment ...