Registered Investment Advisors
The Margin Between State And SEC Regulation Widens To Give RIAs More Flexibility
For RIAs on the edge of the $100 million line that will soon divide state from SEC supervision, life just got a little brighter.
No Surprise: FINRA Still Wants Oversight Over RIAs
Rick Ketchum at FINRA says he's moving the bar toward a universal fiduciary standard now, but it might come via universal FINRA supervision of RIA firms as well as broker-dealers.
Texas, Other States Banking On RIA Deadline Extension
A notice that the Texas State Securities Board is now working toward a first quarter 2012 deadline to switch a lot of RIAs to state supervision turned a few heads in the industry.
Cleaning Up Real Estate Fund Failures Still Keeping SEC Enforcers Busy, Years After The Crash
The latest enforcement action from the SEC is enlightening because it shows just how backlogged the regulators are closing the book on unscrupulous advisory practices that the credit crunch made impossible to hide.
Prominent Advisors Come Out In Favor Of Student-Created RIA Regulator
If the SEC gives up its oversight of registered investment advisors, the regulator created by law students at the University of Mississippi is getting a bit of traction as a possible alternative to FINRA supervision.
