Matt Kitzi

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  FINRA to Mull Broker Compensation Disclosure Rule

  By Melanie Waddell, AdvisorOne  |  November 29, 2012

  December Board meeting will consider several rule proposals and amendments, chief among them a proposal that would require broker-dealers to disclose compensation packages to customers.

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  Enforcement Actions Against Advisors Nearly Doubled: NASAA

  By Melanie Waddell, AdvisorOne  |  October 25, 2012

  Prison time resulting from state-initiated actions rose from the year before, and the number of advisors and BDs removed or barred from the industry spiked as well, according to NASAA’s annual enforcement report.

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  Lawmaker Calls SEC’s Delay on JOBS Act Promotion Rule ‘Completely Unacceptable’

  By Melanie Waddell, AdvisorOne  |  September 13, 2012

  The House hearing on Thursday addressed crowdfunding and concerns on how to verify "accredited investors" for the purpose of advertising private offerings.

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  NASAA Names Abshure as President

  By Melanie Waddell, AdvisorOne  |  September 12, 2012

  A. Heath Abshure, Arkansas securities commissioner, began Tuesday a one-year term as president of NASAA, replacing Jack Herstein.

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  Top 10 Investor Threats for 2012: Some New, Some Old

  By Melanie Waddell, AdvisorOne  |  August 24, 2012

  NASAA’s annual list of financial products and practices that threaten to trap unwary investors has been broken into two parts this year: new threats and persistent (or old) threats.

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  Self-Directed IRAs a Juicy Target for Scams

  By Marlene Y. Satter, AdvisorOne  |  July 19, 2012

  Fighting fraud in self-directed IRAs was the topic of a webinar by NASAA and the Retirement Industry Trust Association.

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  Baby Boomer Investment Scams on the Rise

  By John Sullivan, AdvisorOne  |  December 15, 2011

  Many baby boomers are moving further out on the risk curve in a desperate attempt to capture returns before retirement. That, say regulators, is exposing them to more investment scams.