FINRA’s BrokerCheck ‘Hides’ Criminal Records, Has Other Holes, Study Says
PIABA study says extent of omitted “red flag” information is “so serious that unwitting investors” could hire brokers with criminal records.
Self-Directed IRAs a Juicy Target for Scams
Fighting fraud in self-directed IRAs was the topic of a webinar by NASAA and the Retirement Industry Trust Association.
NASAA's Crawford on State Regulation of RIAs, Fiduciary: The Weekend Interview
Denise Voigt Crawford, Texas Securities Commissioner and president of NASAA, says states are "ready to go" in regulating the approximately 4,000 extra advisors that will officially shift next year.
Will the States Be Able to Regulate Big RIAs?
State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to...
SEC Plan for Bifurcated Form ADV Part 2 Is Balked at by State Regulators
The North American Securities Administrators Association (NASAA) is objecting to the Securities and Exchange Commission's (SEC) upcoming staff recommendation to adopt a version of Form ADV Part 2.
In Reform Bill Supervision, SEC and States Plan to Meet on Shifting Advisors
State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.
Barney Frank Calls for Fiduciary Standard and SEC Self-Funding
'Essential to protecting investors' says Frank at reconciliation conference for Wall Street reforms bills.
For Reform Bill, NASAA and CFA Make Last-Minute Fiduciary Bids
As the House and Senate conferees ready to debate the fate of the fiduciary standard on Wednesday, June 16, industry groups are making last-ditch efforts to convince lawmakers to apply fiduciary duty to brokers.
WealthManagerWeb Names 50 Top Women in Wealth
Third annual list chosen by stellar advisory board leads expanded coverage
Who Are the 50 Top Women in Wealth?
WealthManagerWeb.com selected the most influential, powerful and inspiring women for our list, from the national stage to the practitioners managing the financial assets and of their clients, to the academics who inform our thinking.