Displaying 229 results
Precious metals dealers charged in $185 million elder fraud scheme
The unregistered advisers allegedly convinced retirees to put savings into overpriced gold and silver bullion
State regulators flexed enforcement muscle in 2019
The NASAA report shows last year produced the most actions taken and money returned to investors in five years
Private fund group lobbies to get products in 401(k)s
The Institute for Portfolio Alternatives says lawmakers are receptive to its diversification pitch
West Virginia securities official Lisa Hopkins to head NASAA
The new president plans to focus on SEC’s exempt offering framework, diversity and inclusion issues
FPA moves annual conference online
The association joins large wealth management firms, like LPL Financial and Schwab, in hosting virtual gatherings during the pandemic
State regulators disrupt more than 200 pandemic-related frauds
The worst may be yet to come as another wave of scams is expected regarding potential vaccines, the task force announced
NASAA study on aging advisers suggests firms consider requiring succession plans
Regulators say older advisory workforce may have issues related to cognitive impairment
CFP Board offers remote option for September exams
Finra, NASAA began scheduling online tests earlier this week
Oklahoma pulls back Form CRS mandate for state-registered advisers
Rhode Island keeps its requirement on the books
State regulators propose model rule for advisers’ written policies, procedures
The measure would cover supervision, cybersecurity and business continuity, among other areas
State regulators propose restitution assistance for harmed investors
NASAA based its model rule on measures in place in Indiana, Montana, Vermont, Kansas and Maine
XY Planning focuses on state fiduciary rules after losing Reg BI suit
XYPN co-founder Michael Kitces says the federal appeals court’s decision to uphold the measure could ‘embolden’ states
Just 2 states require their investment advisers to file Form CRS
Rhode Island, Oklahoma advisers join SEC-registered advisers in meeting June 30 deadline
Finra delays launch of online securities licensing exams
An update on the regulator's website says more time needed for system testing
Remote securities license testing could create new normal
Finra and state administrators are set to launch online testing for Series 6, 7, 63, 65 and 66 exams
State-registered investment advisers need better cybersecurity: NASAA
Coordinated exams also show deficiencies in books and records, contracts and fee-related matters
Advisers want CFP continuing education to count toward state requirements
NASAA model rule would require IARs to complete CE to close the regulatory gap with brokers
State regulators concerned about impact of COVID-19 on private markets
NJ securities chief warns that private placements may be used for virus-related frauds
State regulators say they’re not missing an oversight beat
The North American Securities Administrators Association website provides a rundown of relief granted by each jurisdiction
State regulators propose continuing education for investment adviser reps
NASAA wants to close the regulatory gap between IARs and other financial advice professionals
