Investment Adviser News & Guidance
After four years of clashing with the SEC over fraud charges, Nicholas Rowe, the former president of the advisory firm Focus Capital Wealth Management, finally got his day in court this month. An ALJ hearing was set for Feb. 1 in his home state of New Hampshire. With his RIA shuttered for four yea...
NASAA members adopted Feb. 1 a model act designed to protect seniors and vulnerable adults from financial exploitation. The three-page model—which is now available for individual jurisdictions throughout the U.S. to enact as legislation or implement through regulation—provides new tools to securitie...
New OCIE Director Marc Wyatt is putting his stamp on the IA exam program in a big way. Sources tell IA Watch that reports OCIE will encourage scores of B-D examiners to switch to inspecting IAs was an idea Wyatt hatched. The Wall Street Journal first reported the idea Jan. 29th. IA Watch has confi...
Full text of the Securities Acts, final and proposed rules, enforcement actions and regulatory releases.
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Speeches from key industry regulators
Full listing of live events and on‑demand webinars (for members).