Associations/Trade Groups

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 ...

Top officials at SIFMA are increasingly confident that the SEC will develop its own fiduciary rule proposal that will not conflict with the Department of ...

The CFTC can tweak its rules to create a “clear and predictable” regulatory approach that would resolve problems of “market fragmentation” and promote the international ...

Evidence supports delaying the SEC’s liquidity risk management program rule and its related reporting requirements at least one year would be appropriate.  That’s the take ...

The aging of the U.S. population and the current regulatory focus on the protection of seniors have made detecting the warning signs of suspected guardian ...

Only part of the Labor Department’s controversial fiduciary duty rule took effect in June and the Consumer Federation of America says brokers are either rampantly ...

Between crowdfunding portals and slimmed-down rule books for specialized brokers, FINRA has been easing regulations related to capital-raising. And more may be on the way. ...

Investment advisers and broker-dealers aren’t doing enough when it comes to protecting seniors from financial fraud, a new NASAA survey reveals. Three-fourths of the respondents ...

Get ready to submit some “test” filings of new Forms N-PORT and N-CEN later this year when the SEC releases a new version of EDGAR. ...

In March, as part of a top-down review launched by CEO Robert Cook, FINRA sought public comment on its “engagement” programs (BD Watch, March 23, ...