Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Associations/Trade Groups (79)
Your search for Associations/Trade Groups returned 79 results.
Sorted by Date

12/20/2018 | Content area: Investment Adviser
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 CFP Boa...
10/18/2018 | Content area: Investment Adviser
A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new hei...
9/25/2018 | Content area: Investment Adviser
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 tim...
9/06/2018 | Content area: Investment Adviser
Thanks to a roaring stock market, SEC-registered investment advisers collectively manage more than $82 trillion in assets – a 16% gain over the previo...
1/01/2018 | Content area: Broker-Dealer
Top officials at SIFMA are increasingly confident that the SEC will develop its own fiduciary rule proposal that will not conflict with the Department...
12/14/2017 | Content area: CPO/CTA
The CFTC can tweak its rules to create a “clear and predictable” regulatory approach that would resolve problems of “market fragmentation” and promote...
10/12/2017 | Content area: Investment Adviser
Only part of the Labor Department’s controversial fiduciary duty rule took effect in June and the Consumer Federation of America says brokers are eith...
8/30/2017 | Content area: Broker-Dealer
Between crowdfunding portals and slimmed-down rule books for specialized brokers, FINRA has been easing regulations related to capital-raising. And mo...
7/13/2017 | Content area: Broker-Dealer
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, 2017...
6/22/2017 | Content area: Investment Adviser
Once again you’re being asked to share your comments about standards for financial professionals, but it’s not by the SEC this time (IA Watch, June 15...
6/15/2017 | Content area: Investment Adviser
As public comments slowed in response to SEC Chairman Jay Clayton’s recent invitation concerning “standards of conduct” for advisers and B-Ds, the Inv...
5/25/2017 | Content area: Investment Adviser
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 scores...
5/09/2017 | Content area: Investment Adviser
We often witness the devastation suffered by victims of securities fraud. Whether fraudsters cold-called their victims to peddle their fraudulent “in...
4/13/2017 | Content area: Investment Adviser
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, 2017), but the effo...
3/09/2017 | Content area: Investment Adviser
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 disclosure...
12/20/2016 | Content area: Broker-Dealer
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 ...
11/03/2016 | Content area: Broker-Dealer
The Public Investors Arbitration Bar Association has once again assailed FINRA’s BrokerCheck system for key information omissions. Two-and-a-half year...
9/07/2016 | Content area: Investment Adviser
The percentage of salary growth may have topped revenues’, but the latest Form 990 report from the Investment Adviser Association attests to vigorous ...
8/30/2016 | Content area: Investment Adviser
Investment advisers have never served more clients (36 million) nor managed more assets ($66.8 trillion), and the industry displays strong jobs growth...
6/02/2016 | Content area: Investment Adviser
It had long been expected, and on June 1 a group of industry and business groups fulfilled the prophecy by filing a lawsuit in federal court in Dallas...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US