The agency's approach allows firms to comply with new guidelines while while tailoring their practices to their own businesses and clients.
NASAA's Operation Cryptosweep has resulted in 47 enforcement actions since its launch in May.
Strategy is an extension of efforts that began due to the DOL fiduciary rule, observers say.
Two new integration partners add data visualization, analytics and Monte Carlo projections to Orion's portfolio accounting platform.
Paige Pierce wins small-firm seat, Janney Montgomery Scott CEO Timothy Scheve takes large-firm seat
Agency orders 'do-overs' following Supreme Court ruling on appointment of in-house judges
Record keeper widens the gap between itself and the bulk of its 401(k) competitors.
Senior executives aren't convinced of the importance of company retirement plans.
A few potential back-up plans exist, but there's a lot you should know before forging ahead
What advisory firms can learn from online retailers about combining digital technology with human advice.
Pension offsets reduce Social Security benefits, but some qualify for exceptions.
Advisers are using insights from behavioral economics and social psychology to steer people's decisions in a direction that should benefit them.
Do firms' shortcomings reflect the fact that they don't have the latest tech tools — or that they don't make good use of the tools they have?
IRS points way toward coupling repayment programs with employer retirement plans.
Chronicle, Google's latest "moon shot," wants to level the playing field between large and small security teams.
If confirmed by full Senate, Republican would restore commission to full strength until December.
Growing pressure on fees and disclosures drives fund industry limits on C-share investing.
Rules specify who qualifies for back benefits based on age and filing status.
James E. Grimes accused Trustmont Financial of breaching fiduciary duty in a case related to two annuity exchanges and a private REIT.
Boosting the corporate tax rate, eliminating carried interest and modifying the pass-through provision are among the possibilities Democrats are discussing.
