Registered Investment Advisors
Draft House Bill Shows Congress Is Leaning Toward An RIA SRO
After months of speculation and debate, the House Financial Services Committee has drafted a bill that would force investment advisors to join an as-yet-unnamed self-regulatory organization.
Get Ready For Congressional SRO Hearings In Two Weeks
The House of Representatives has reportedly scheduled September 13 as the date when formal debate on whether investment advisors should switch to a self-regulated model.
Follow-up Information for the Webinar, “The Switch Is On Again For RIAs”
A lot of important information regarding the upcoming requirement for mid-sized advisors to switch from SEC to state registration was provided during the recent webinar, “The Switch is On Again for RIAs”, hosted by Advisor4Advisor and presented by Tammy Emsick of RIA Compliance Consultants. Therefore, we would like reiterate a few of the main points presented during this webinar.
Does Your Investment Adviser Firm Have a Written Information Security Plan?
Based upon the formal and informal expectations of state and federal securities regulators, every investment adviser should consider developing a written information security plan.
Investment Adviser Association Identifies Top Compliance Concerns For Advisors This Year
Social networking made the list of advisors' biggest compliance headaches this year. So did pay-to-play political contributions, data security, custody, and advertising issues.
