Articles tagged "NASSA"

HeadlinePublish date

Deadline for state registration may have shifted; SEC's Robert Plaze offers clarity

It's nice, but it's not a rule, say compliance experts, regulators frustrated by amorphous situation

April 12, 2011 — 2:48 PM UTC

Most RIAs prefer to pay money for SEC exams now than pay in blood later under an SRO

TD Ameritrade survey comes as resistance to FINRA empowerment wells up from wide array of organizatioms

December 10, 2010 — 4:40 AM UTC

The biggest questions about the switch to state oversight: You tell us

RIABiz posts its first reader survey on an issue affecting a massive number of RIAs

December 7, 2010 — 5:13 AM UTC

Regulatory Wire: Advocates for investment advisors disagree over priorities in the reform debate

Plus: a Washington outsider's view of reform; and FINRA's Ketchum on new fraud focus

May 28, 2010 — 4:37 AM UTC

Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers

Amendment under fire from state securities regulators, Consumer Federation

May 14, 2010 — 11:07 PM UTC

The suitability standard, defined

If you've wondered, as we have, exactly what it says, wonder no more

May 5, 2010 — 4:57 AM UTC
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