Even before many mid-sized advisers made the switch to state oversight, local…
Read MoreBad Company: Advisers Make NASAA Fraud Watch List
The North American Securities Administrators Association (NASAA) recently released its annual list…
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 MoreWhat Is the Biggest Compliance Concern for Registered Investment Advisers?
If you guessed social media, you are correct! A recent survey conducted…
Read MoreMunicipal Adviser Legislation Advancing in Congress
While the SRO bill is stalled, another piece of legislation impacting registered…
Read MoreWhat’s Next for Advisers Now Under State Oversight?
Now that approximately 2,500 investment advisers with less than $100 million of…
Read MoreMost Clients Trust Their Adviser More Than Their Doctor
A new survey reveals that many Americans put great trust in their…
Read MoreNew Bill Introduced to Maintain SEC Purview Over Registered Advisers
Representative Maxine Waters (D – CA) recently introduced an alternative proposal that…
Read MoreThe Burning Question for Advisers: Is the SRO Bill Really Dead?
Advisers can breathe a sigh of relief. The Investment Adviser Oversight Act…
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