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Articles tagged "NASAA"


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A plethora of definitions and categories must be sorted and so must manipulation of the count.

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 at 7:57 PM

Jack Waymire: Our cause for concern was the number of advisors who did not appear to have accessible compliance records.

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 at 5:39 PM

Les Abromovitz: Policies and procedures can protect elderly clients who exhibit signs of a cognitive impairment.

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 at 3:53 PM

James Carville lent his big presence and Louisiana accent to a small event with large ambitions.

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 at 2:45 AM

Les Abromovitz: If you ignore securities regulators' priorities ... you're likely to get dealt a bad hand during an exam.

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 at 5:58 AM

Daniel Bernstein: No one should be running their businesses on stuff which may never come to fruition.

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 at 3:17 AM

Brian Hamburger, founder of MarketCounsel's Member Summit 2011, expects 200 advisors with between $100 million and $1 billion in assets

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 at 4:03 AM

Melanie Senter Lubin: Maryland's securities chief says state regulators are pressing the SEC to offer guidance to advisors.

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 at 3:58 AM

Compliance expert Cathy Vasilev says many of her clients are beginning to worry about whether they will be able to register with the states by the July 21 deadline.
September 23, 2010 at 6:12 AM

Les Abromovitz: Some advisers designate one particular person who is responsible for addressing questions pertaining to seniors.

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 at 3:26 AM

Speaker of the House Nancy Pelosi and House Minority Leader John Boehner

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 at 2:21 AM

Denise Voigt Crawford: Advisors who haven't had an SEC audit recently -- or ever -- should expect an examiner's knock on the door soon after they switch to state oversight.
August 25, 2010 at 12:56 PM

Kristina Fausti: We've entered a new regulatory era that calls for greater transparency and accountability.

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 at 3:36 AM

The SEC says fraud costs $40 billion a year

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 at 5:02 AM

House and Senate financial reform bills would shift 4,000 RIAs to state oversight, but the SEC still has questions about states' resources.

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 at 6:28 AM

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