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By Melanie Waddell, AdvisorOne |
February 2, 2011
State securities regulators laid out their legislative agenda on Wednesday, and among their top priorities will be to fend off attempts to weaken Dodd-Frank and to “push hard” to encourage members of Congress to impose user fees on advisors to help the SEC fund advisor exams.
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By James J. Green, AdvisorOne |
October 13, 2010
You are important enough to be regulated, and the interconnectedness of the world financial system requires that you be regulated to protect consumers and that system.
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By Melanie Waddell, AdvisorOne |
September 15, 2010
Advisory and consumer trade groups released a joint survey on Wednesday which shows that the majority of investors are confused about which type of advisor is required to act as a fiduciary.
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By Melanie Waddell, AdvisorOne |
September 15, 2010
The majority of investors believe all financial professionals providing investment advice should be held to a fiduciary standard
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By Melanie Waddell, AdvisorOne |
August 20, 2010
Denise Voigt Crawford, Texas Securities Commissioner and president of NASAA, says states are "ready to go" in regulating the approximately 4,000 extra advisors that will officially shift next year.
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By Melanie Waddell, AdvisorOne |
July 21, 2010
The Securities and Exchange Commission (SEC) voted Wednesday, July 21, to adopt long-awaited changes to the Form ADV Part 2 used by advisors.
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By Melanie Waddell, AdvisorOne |
July 14, 2010
The North American Securities Administrators Association (NASAA) is objecting to the Securities and Exchange Commission's (SEC) upcoming staff recommendation to adopt a version of Form ADV Part 2.
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By Melanie Waddell, AdvisorOne |
June 21, 2010
As the Senate and House conferees get back to work on Tuesday, June 22, the critical vote on whether to apply a fiduciary standard to brokers is expected.
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By Melanie Waddell, AdvisorOne |
October 1, 2007
Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors--the...
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By Staff Writer |
September 1, 2006
Be careful of how you present industry designations to prospects and clients. That's the lesson learned from the recent spate of bad publicity about senior specialist...
