Survey Says: Investors Are Confused About Who's a Fiduciary
The majority of investors believe all financial professionals providing investment advice should be held to a fiduciary standard
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.
SEC Approves Changes to Form ADV Part 2
The Securities and Exchange Commission (SEC) voted Wednesday, July 21, to adopt long-awaited changes to the Form ADV Part 2 used by advisors.
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, Fiduciary Duty, EIA Regulation Face Vote on June 22
As the Senate and House conferees get back to work on Tuesday, June 22, the critical vote on whether to apply a fiduciary standard to brokers is expected.
Helping the Most Vulnerable Retirees
Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors--the...
Straight talk about industry designations
Be careful of how you present industry designations to prospects and clients. That's the lesson learned from the recent spate of bad publicity about senior specialist...
Agenda Set for D.C. Seniors Summit
NASD fraud study to be unveiled at July 17 gathering
On March 29, NASD Executive VP of Regulatory Policy and Oversight Elisse Walter testified before the Senate Committee on Aging regarding investment fraud targeting the...