Articles tagged "NASAA"


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How many RIAs are there? No, seriously, how many?

Competing counts are full of 'bastardized' definitions of 'advisor,' state vs. SEC- vs. dually registered IARs, differing study criteria and agendas

November 11, 2015 — 7:57 PM UTC

Can advisors keep their dirty compliance laundry in the closet thanks to lack of NASAA, SEC and FINRA coordination?

Mostly not but Jack Waymire and Brian Hamburger flesh out the issue with the right questions and answers

September 19, 2014 — 5:39 PM UTC

Older investors' complaints deserve -- and receive -- special scrutiny from regulators

Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions

July 17, 2012 — 3:53 PM UTC

TD Ameritrade's 2012 Elite Advisor Summit gathers $89 billion of RIA assets under one Laguna Beach umbrella

Fresh off a week of D.C. intensity, the annual event crackled with strong opinions and offensive strategies

June 15, 2012 — 2:45 AM UTC

The SEC will often 'tell' advisors what compliance issues deserve attention

The agency has its own ways of communicating what gets on its regulatory nerves

April 9, 2012 — 5:58 AM UTC

The dark side of the 'good' regulatory changes get scrutinized at MarketCounsel Summit 2011

Advisors may get much of what they wish for but in reality it may not be so good

October 17, 2011 — 3:17 AM UTC

MarketCounsel, CFDD, T3 and Schwab vie for advisors to attend their fall conferences

As competition for RIA time and money grows, many events are catering to more defined niches

September 26, 2011 — 4:03 AM UTC

It's looking official: Advisors switching to state oversight to face many more audits

State securities regulators, SEC issue first solid answers on some commonly asked questions for 4,000 advisors in limbo

September 28, 2010 — 3:58 AM UTC

Frustration mounts: Experts, RIAs identify six most important unknowns about the switch to state oversight

SEC announced time frame for proposed rules

September 23, 2010 — 6:12 AM UTC

When it comes to senior investors, regulators are breathing down your shoulder

A Colorado advisor who oversold hedge funds may pay a price

September 21, 2010 — 3:26 AM UTC

Signed, sealed, delivered: Fiduciary advocates hope SEC takes their new survey for gospel

In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins

September 16, 2010 — 2:21 AM UTC

What advisors should know about the next sweeping change: the switch from SEC oversight to state regulation

It could impose most on advisors spread out across multiple states

August 25, 2010 — 12:56 PM UTC

How financial reform gives the SEC new bite; plus at least five other things advisors ought to know about the legislation

The new financial world will be constructed mostly out of the public eye, as regulators begin studying 150 issues Congress punted to agencies

July 26, 2010 — 3:36 AM UTC

Regulatory Wire: CREW report criticizes the SEC and blasts its chairman, Mary L. Schapiro, for being slow to fight fraud

Measures against the Bernie Madoffs, Kenneth Starrs called insufficient; accountants on extensible business reporting language; and a strong letter from NASSA

June 4, 2010 — 5:02 AM UTC

Regulatory Wire: Two Senators may take on fiduciary fight, but how hard will the Obama administration push for the standard?

Plus, Doubts about state regulators' resources; a possible reprieve for California RIAs; and Schumer's under pressure on SEC funding

April 16, 2010 — 6:28 AM UTC
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