Are advisers more afraid of an Obama second term or Congress? According…
Read MoreUpdate: Fate of RIA Oversight Will Not Be Decided This Month
The battle over who will oversee registered-investment advisers promises to continue into…
Read MoreRegulators Don’t “Like” How Advisers Are Using Social Media
Social media use by advisers is on the rise. A recent survey…
Read MoreShould Advisers Be Regulated by Robots?
These days, it seems like everyone has an opinion about who should…
Read MoreBut How Much Will It Cost? Bachus SRO Hearing Centers on Impact to Small Advisers
The much-anticipated hearing on Rep. Spencer Bachus’ Investment Adviser Oversight Act of…
Read MoreShow Me the Money: SEC Changing the Way It Calculates the Financial Burden of New Rules
The U.S. Securities and Exchange Commission (SEC) is creating a new method…
Read MoreStoking the Fiduciary Fire: Debate Over Broker Oversight Heats Up
The debate over the fiduciary standard is rearing its head again, and…
Read MoreThe Numbers Are In: Fewer Advisory Firms Switch to State Oversight
Fewer advisory firms than expected will be converting to state registration. As…
Read MoreInvestment Adviser Oversight Act of 2012 Could Mean More Big Changes for RIAs
Legislation is currently pending in the U.S. House of Representatives that could…
Read MoreMutual Funds Won’t Register With CFTC Without a Fight
The Investment Company Institute (ICI) and the U.S. Chamber of Commerce have…
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