Why NASAA Is Leading the Charge Against Elder Fraud
At least one-third of the enforcement actions initiated by state securities regulators involve senior investors, and NASAA is tackling the issue head on.
PIMCO Rehires Spence, Banet to Rebuild After Gross Departure
PIMCO has named Nobel laureate Michael Spence as consultant and rehired money manager Jeremie Banet as executive vice president.
What a GOP Senate Takeover Means for Dodd-Frank, CFPB, User Fees
AEI's Peter Wallison and others weigh in on what advisors can expect now that Republicans have dominated the midterms.
Beatty Begins 1-Year Term as NASAA President
William Beatty will focus on senior financial abuse and new electronic state filing of Form D for Rule 506 offerings.
12 Best States for Adjusted Advisor Pay
Low cost of living often offsets lower advisor pay in some states, while in other states high pay offsets high cost of living.
SEC User Fees the Answer to Exam Budget Crunch: Investor Advocate
SEC investor advocate Rick Fleming called on Congress to pass a user fees bill, saying investors faced “substantial risk” from unexamined advisors.
DC Update on SEC User Fees, an SRO and Third-Party Exams
It will be difficult to enact any legislation in this Congress, but I predict that the RIA user fee bill will gain co-sponsors, including Republicans.
Ladenburg Thalmann Buys Insurance Brokerage Highland for $42M
The acquisition of Highland gives Ladenburg's independent advisors greater access to insurance solutions for clients.
10 Best & Worst States for Retirement
Taxes, sunshine and health care are among Bankrate's critera for picking a good place to retire.
Barney Frank to Testify on Dodd-Frank’s Impact 4 Years On
Former Rep. Barney Frank will testify Wednesday before the House Financial Services Committee on his namesake Dodd-Frank Act’s impact.