RIA Assets Jumped 12.6% in 2014: IAA/NRS Study
Regulatory assets held by advisors registered with the SEC increased by $6.9 trillion from last year, according to an analysis of filings.
IAA’s Barr to Replace Tittsworth as President, CEO
Karen Barr will become the IAA's new president and CEO, replacing David Tittsworth, who has led the association since 1996.
SEC User Fees Would Have Little Impact on Most Firms: Study
Vanguard, on the other hand, may have reason to call its lobbyists soon, according to an analysis by the compliance firm RIA in a Box.
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.
SEC Warned to Halt Money Market Fund Rule Release
Financial Services Roundtable tells SEC to deal with money fund rule's "tax consequences" before moving ahead.
House Bar on SEC Fiduciary Rule Likely DOA in Senate
It's “unlikely that the Senate will agree” to prohibit the SEC from making a uniform fiduciary rule, says IAA's David Tittsworth.
Rep. Bachus Backs Waters' User-Fees Bill
Rep. Spencer Bachus, R-Ala., agreed Thursday to co-sponsor a bill to allow the SEC to collect user fees to help boost advisor exams.
SEC Begins Exam Sweep of Alt Mutual Funds
The SEC is scrutinizing alternative mutual funds, with an exam sweep targeting 15 to 20 fund complexes.
Cybersecurity Is Advisors’ Hottest Compliance Topic: IAA Survey
"Many advisors still have work to do to develop their cybersecurity programs," says IAA counsel Laura Grossman.
SEC Issues FAQ on Proxy Voting for Advisors
The core of the proxy guidance is that "advisors have a fiduciary duty to vote proxies in the best interests of their clients,” IAA says.