This is NASAA's guide to state contacts for B-D and RIA registration and exams, dated September 2010.
Last week a court in Texas accepted a no contest plea from an SEC attorney in a misdemeanor charge of resisting arrest by a Fort ...
The SEC expects by the end of the year to propose a rule outlining its new whistleblower program under Dodd-Frank, which promises to offer lofty ...
Like a parent spending time with her child, an adviser that regularly communicates with clients finds success. Advisers that spend between 30-34 hours each week ...
It's estimated more than 4,000 firms - or about 1/3 of SEC-registered RIAs - will transfer to state registration by next July. To help firms ...
The cheerful news shows that total AUM by all RIAs rose $4.6 trillion last year to $38.6 trillion. This is the highest AUM total, exceeded ...
Like many stockbrokers seeking to flee a wirehouse for the bold life of running their own RIA, Ben Grant wished his 300 customers and their ...
The SEC has before it a world-changing task in possibly expanding the fiduciary duty standard to broker-dealers. Some observers believe the process will end with ...
After you type that final period into your Form ADV, Part 2 brochure, assemble a focus group of 3-4 clients and ask for their feedback."Test ...
Some have questioned the SEC's time estimates for completing the new narrative Form ADV, Part 2. Korrine Kohm has already produced four of them and ...