Associations/Trade Groups

Crowdfunding and the portals that bring buyers and sellers together online are gaining traction. Twenty-one funding portals have emerged to facilitate crowdfunding, with 163 deals ...

The amendments to Regulation D may lead to states developing regional offering exemptions so companies could raise capital from investors in a specific region, rather ...

Here’s one top industry official’s prescription for managing your business in 2017: Hope for the best and prepare for the worst.   Translation: Hopes for ...

The Public Investors Arbitration Bar Association has once again assailed FINRA’s BrokerCheck system for key information omissions. Two-and-a-half years after issuing an initial report critical ...

Regulatory scrutiny and best practices suggest that you should be reviewing your firm’s P&Ps applicable to the issues and challenges that can surface when dealing ...

For the first time since it has collected enforcement data, NASAA announced Sept. 13 in its 2016 enforcement report that more registered members of the ...

There is still room for improvement when it comes to best serving senior investors.  That’s the preliminary conclusion drawn from NASAA’s coordinated examinations of some ...

A number of industry heavy hitters are in lockstep agreement on the SEC’s proposed new rule that would require investment advisers to adopt and implement ...

The percentage of salary growth may have topped revenues’, but the latest Form 990 report from the Investment Adviser Association attests to vigorous growth under ...

Investment advisers have never served more clients (36 million) nor managed more assets ($66.8 trillion), and the industry displays strong jobs growth spanning small to ...