-
The SEC examined approximately 2,180 RIAs in 2019.
January 16 -
While these 20 dizzying changes will throw some for a loop, financial advisors and their clients grow more powerful each year.
December 18 -
The fact that it’s impossible to track the amount of revenue sharing kickbacks demonstrates the problem, says the research firm’s lead policy wonk.
November 18 -
With tens of thousands of certificants affiliated with giant BDs, the documents required by the new standards are making their conflicts of interest plain as day.
October 31 -
The regulator is doing more with less but also missing its own goals around how long an investigation takes to result in an enforcement case.
October 29 -
The cases allege unsuitable recommendations of LPs issued by affiliates of GPB Capital, which faces multiple investigations.
October 17 -
In a little-noticed rule change, mutual funds no longer disclose their shrinking BD commission load-sharing payments.
October 16 -
NASAA’s annual survey of regulators sheds light on legal proceedings against BDs, RIAs and unregistered firms that often go unnoticed in the wider industry.
September 11 -
They’re grinding forward with changes, even as complicating factors emerge ahead of when the rule takes effect next year.
September 10 -
Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.
September 9