Apr 12, 2011
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
Tag
NASSA
6 articles
Articles tagged "NASSA"
Dec 10, 2010
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
Dec 7, 2010
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
May 28, 2010
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 14, 2010
Hopes dashed: Collins amendment extends fiduciary standard to BDs, but excludes variable annuity sellers
Amendment under fire from state securities regulators, Consumer Federation
May 5, 2010
The suitability standard, defined
If you've wondered, as we have, exactly what it says, wonder no more
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