Associations/Trade Groups

The North American Securities Administrators Association characterized the recently released findings of a survey of the senior-related practices and procedures of more than 60 broker-dealers ...

As public comments slowed in response to SEC Chairman Jay Clayton’s recent invitation concerning “standards of conduct” for advisers and B-Ds, the Investment Adviser Association ...

At a time when Republicans hold the trump card in Washington, regulators are on the defensive. But they are not giving up, either. Witness the ...

NASAA’s model fee disclosure schedule is gaining wider acceptance among brokerage firms. The association announced May 9 that nine additional securities firms have agreed to ...

As regulators, we also have a responsibility to ensure that our rules are functioning as intended and in an effective and efficient manner. We must ...

We often witness the devastation suffered by victims of securities fraud. Whether fraudsters cold-called their victims to peddle their fraudulent “investment opportunities”, or sat ...

For some industry heavy hitters, the 60-day delay of the DOL’s fiduciary duty rule implementation is simply not enough (IA Watch, April 5, 2017). The ...

It may have taken three years of lobbying for the industry to wrest out of the SEC new guidance around custody (IA Watch, Feb. 23, ...

Many investment advisers have a critical need to catch up rather than get ahead when it comes to cybersecurity, a recent industry study reveals. The ...

This week, the CFA Institute’s executive body will weigh a proposal to change the GIPS’ rules to accept a mutual fund’s existing regulatory disclosures as ...