National Regulatory Services

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  Number of RIAs Drops as AUM Spikes: IAA, NRS

  By Melanie Waddell, AdvisorOne  |  November 5, 2012

  The Dodd-Frank Act "has had a profound effect on the composition of the investment advisory profession," says David Tittsworth of IAA.

• IAA, NRS Report: Number of RIAs and Their AUM Continues to Rise

  By Melanie Waddell, AdvisorOne  |  September 29, 2010

  The number of advisors registered with the SEC continued to rise over the past year, as did those advisors' assets under management, according to a report released by the IAA and the NRS.

• Advisors' AUM Drop as More Enter the Business

  By Melanie Waddell, AdvisorOne  |  October 6, 2009

  IAA, NRS report that bulk of assets remain concentrated with small number of big firms

• SOX and You

  By Melanie Waddell, AdvisorOne  |  May 1, 2006

  Are you up to speed on Sarbanes-Oxley? That's the law Congress put in place after Wall Street was rocked by the corporate scandals at Enron...

• Tall Order

  By Melanie Waddell, AdvisorOne  |  June 1, 2004

  Compliance. It's the buzzword of the day. Attend an industry conference, and you'll notice that the compliance sessions are standing room only. It's no wonder....

• B/Ds' Compliance Burden Gets Heavier

  By Melanie Waddell, AdvisorOne  |  September 1, 2003

  Ask any broker/dealer what their biggest headache is nowadays, and they'll tell you it's complying with the deluge of new and proposed regulations by the...

• What You Need to Know About Your E-mail

  By Staff Writer  |  June 1, 2003

  If securities regulators were to start enforcing e-mail retention rules today, independent advisors would in be big trouble. Based on my recent conversations with advisors...