Recent posts

NASAA Annual Meeting Reveals Partnerships and Progress

The North American Securities Administrators Association (NASAA) 2016 Annual Conference (September 11-13, 2016, Providence Rhode Island), titled “Diversity in Today’s Financial Markets,” provided unique insight into the state regulatory activities affecting both broker-dealers and investment advisers. This annual event brings together NASAA representatives (regulators and law enforcement) from the 50 states, US territories, and Canadian...
Read more

SEC Adopts Rules to Enhance Information Reported by Investment Advisers

The Securities and Exchange Commission adopted amendments to several Investment Advisers Act rules and the investment adviser registration and reporting form to enhance the reporting and disclosure of information by investment advisers. The amendments will require investment advisers to provide additional information regarding their separately managed account business, including aggregate data related to the use...
Read more