Associations/Trade Groups

For a third consecutive year, cybersecurity remains the hottest compliance topic among investment advisers. Nearly 9 out of 10 IAs regard the safeguarding of critical information ...

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 ...

Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address ...

It’s amazing that all these years after the custody rule was toughened by the SEC that no one had raised this issue until now. The ...

When it’s all added up, the Financial Planning Association suffered a $40,000 loss in 2014, according to its most recent IRS-990 filing. However, when contrasted ...

The Requestors asked for relief from the registration requirements in the Commodity Exchange Act (“CEA”)1 for certain intermediaries located outside of the United States (“Foreign ...

Carlo di Florio’s move from heading OCIE to being FINRA’s chief risk officer in 2013 is paying off (IA Watch, May 13, 2013).   According ...

NASAA members adopted Feb. 1 a model act designed to protect seniors and vulnerable adults from financial exploitation. The three-page model—which is now available for ...

It took only six months for former U.S. Senator Judd Gregg to determine that the CEO job at SIFMA was not for him but the ...

Karen Barr took over the Investment Adviser Association as president/CEO in November 2014 (IA Watch, Sept. 25, 2014). According to the association’s latest IRS-990 filing, ...