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.
New Hire Roundup: Ohio Securities Commissioner Andrea Seidt to Lead NASAA
Stephanie Zaffos joined Convergent Wealth Advisors, Scivantage welcomed Jim Toussignant, and the SEC announced three staff promotions.
NASAA Names Abshure as President
A. Heath Abshure, Arkansas securities commissioner, began Tuesday a one-year term as president of NASAA, replacing Jack Herstein.
State RIA ‘Switch’ Warning: Don’t Procrastinate, Ask for Help
Some reports imply that state registrations will be a lot tougher on advisors, but most state regulators prefer to offer guidance rather than coming down on advisors like a ton of bricks for violations.
Watch Out. Reform Is on the Way
As the New Year unfolds, one thing is certain: financial services regulatory reform will be hotly debated in the 111th Congress, and perhaps some reforms...
The Registration Numbers
Here's a breakdown of how, and where, advisors and brokers are registered. The numbers were presented by Melanie Lubin, Maryland's Securities Commissioner, at the ALI-ABA...
Ask any advisor what their biggest bugaboo is these days and they're sure to utter one word: compliance. Over the past few years, the SEC...