Recent posts

NASAA Launches Senior-Focused Website:

The North American Securities Administrators Association (NASAA) announced the launch of, a new website designed to provide senior-focused resources to investors, caregivers, industry and policymakers. The website is available at   “We are pleased to provide a resource-rich online environment for senior investors and those best positioned to provide for their care, financial...
Read more

MSRB to Implement Core Conduct Rule for Municipal Advisors

Beginning in June 2016, firms and individuals that advise state and local governments on municipal finance transactions and products will be subject to detailed regulations on their professional conduct, including rules furthering the federal fiduciary duty to their municipal entity clients established under Dodd-Frank Wall Street Reform and Consumer Protection Act. New MSRB Rule G-42...
Read more