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.
Denise Voigt Crawford Speaks for Investors
Remains "hopeful that at the end of the day the right decisions for our country will be made."
Dodd Reform Bill, Likely Out Next Week, Already Gets Reaction
Inclusion of amendment deleting fiduciary standard prompts objections from industry groups
NASAA President Tells Crisis Investigators To Take Three Steps
Restore provisions of Glass-Steagall, reinstate state oversight of Rule 506, and boost state regulation of advisors.