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…
Read MoreWhat Is the Biggest Compliance Concern for Registered Investment Advisers?
If you guessed social media, you are correct! A recent survey conducted…
Read MoreNew Jersey Hedge Fund Facing Serious Charges
Recent fraud charges against a New Jersey hedge fund are making the…
Read MoreMunicipal Adviser Legislation Advancing in Congress
While the SRO bill is stalled, another piece of legislation impacting registered…
Read MoreBachus Op-Ed Reignites SRO Debate
Just when advisers thought Sen. Bachus had backed off his SRO bill,…
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