Of the nearly 5,000 brokerage firms registered by FINRA, 1,734 firms - or 37% - have an affiliate engaged in investment advisory activities. The statistics ...
The SEC's study giving Congress three options to enhance RIA exams contains a little bit for everybody (see related story). It also gives industry groups ...
The SEC expects your policies and procedures to include a look at the "accuracy of disclosures made" in advertisements but it doesn't lay out a ...
Last week, the GAO, in its Dodd-Frank study of financial planners, recommended educational efforts, confirmed that consumers are confused about the role of financial planners, ...
This is a big year for your firm if it claims compliance with GIPS standards. Every five years the CFA Institute updates its voluntary Global ...
Investors were told their funds would be placed in safe vehicles, like Burger King restaurant franchises and real estate. The SEC claims the president/CCO of ...
Congress can improve examinations of investment advisers by either permitting the SEC to impose user fees on advisers, allowing for the creation of one or ...
This is the SEC's study on enhancing IA exams. Congress ordered the study in its Dodd-Frank reform law. This was released January 19, 2011.