Associations/Trade Groups

Books and records issues continue to plague state-registered investment advisers. The problems account for more than twice as many deficiencies found by state examiners as ...

Broker-dealers are being encouraged to voluntarily adopt and implement model fee disclosure and accessibility standards advanced Sept. 28 by a working group of regulators and ...

FINRA fines meted out to broker-dealers and associated persons during the first half of this year have significantly decreased compared with 2014, which was a ...

That letter to SEC Enforcement chief Andrew Ceresney from the NSCP last month raising questions about cases targeting compliance officers will result in a D.C. ...

Add another voice to those clamoring for the SEC to dampen fears among compliance officers that they will be charged for missing the violations of ...

By all measures the investment adviser industry shows healthy growth. That’s one of the conclusions in the recently released 15th annual Evolution Revolution study from ...

In an attempt to temper the tempest stirred by last February’s SEC Division of Investment Management guidance on registered fund gifts and entertainment (IA Watch, ...

The debate carries on despite FINRA not actively pursuing the issue: Should the SRO take on examinations of investment advisers? The latest champion for the ...

The battle’s on. SIFMA released June 3 a detailed “best interests of the customer standard” for broker-dealers that included regulatory language to replace FINRA rule ...

This matter involves Nationwide’s processing of purchase and redemption orders for variable insurance contracts and underlying mutual funds (collectively “orders”) in violation of Rule 22c-1 under ...