Earlier this summer, FINRA proposed a controversial fee hike that is not…
Read MoreAdviser Oversight Bill May Turn on How You Define “SRO”
While legislation regarding adviser oversight has slowed, the debate has not. The…
Read MoreSEC Issues Risk Alert on Pay-to-Play Rules
The SEC has issued a National Examination Risk Alert related to pay-to-play…
Read MoreBetter Late Than Never: SEC Releases New Advertising and Solicitation Rules
The SEC has finally released its long-awaited proposed rules to eliminate the…
Read MoreBad Company: Advisers Make NASAA Fraud Watch List
The North American Securities Administrators Association (NASAA) recently released its annual list…
Read MoreRecent Ruling Could Help Brokers Get a Clean Slate With FINRA
A California court showed mercy. In a recent ruling, the California Court…
Read MoreThe Real Hidden Risk for Advisers: Identify Theft
Advisers should be aware of a growing identity theft scams that targets…
Read MoreAre New Rules on Adviser Designations on the Horizon?
Standards for how advisers use designations to advertise the services they offer…
Read MoreAdviser Facing Legal Trouble Over Radio Show
Advisers ready for the limelight, beware! The SEC recently announced charges against…
Read MoreFINRA Taking a Closer Look at Conflicts of Interest: Are You Prepared?
The Financial Industry Regulatory Authority (FINRA) wants to know how you identify…
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