NASAA

• In Reform Bill, Fiduciary Duty, EIA Regulation Face Vote on June 22

  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.

• Helping the Most Vulnerable Retirees

  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...

• Straight talk about industry designations

  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...

• Agenda Set for D.C. Seniors Summit

  By James J. Green, AdvisorOne  |  July 13, 2006

  NASD fraud study to be unveiled at July 17 gathering

• Group Think

  By Staff Writer  |  May 1, 2006

  On March 29, NASD Executive VP of Regulatory Policy and Oversight Elisse Walter testified before the Senate Committee on Aging regarding investment fraud targeting the...