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Articles tagged "NASSA"


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NASSA's David Massey: “(The letter) was helpful news, which is unusual."

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 at 2:48 PM

SEC headquarters has seen plenty of traffic lately, as companies and lobbying groups send execs aiming to influence a pending report on advisor oversight.

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 at 4:40 AM

California may be the land of milk and honey, but its RIA registration bureaucracy is notoriously slow. Let us know what's happening in your state.

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 at 5:13 AM

NASSA can take consolation in what's likely a big win in its column after financial reform -- the shift in oversight of RIAs with up to $100 million in assets from SEC oversight to state regulation.

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 at 4:37 AM

Susan Collins put Goldman Sachs execs through tough questioning, then introduced an amendment on the fiduciary standard.

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 at 11:07 PM

FINRA, SEC and NASSA offer guidance on the suitability standard

The suitability standard, defined

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

May 5, 2010 at 4:57 AM

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