Compliance

SEC Staff Says It Will Make Conflicts Of Interest Of Dually-Registered RIAs An Areas Of Focus Of RIA Examinations In 2013

Give States Oversight And Examination Authority Over RIAs Managing $1 Billion Or Less To Solve The RIA Regulatory Mess

Former SEC Chair Levitt Says Since SEC Did Not Pursue Money Fund Reform, FSOC Certainly Should

FINRA Reissues Controversial Business Practice Rules Of 2010

SEC Chief, Testifying Before Senate, Says Dodd-Frank Replaced 2,250 RIAs And $115 Billion AUM With 1,500 New RIAs Managing $3 Trillion

 

We're the right news and professional education solution for you if you’re a fiduciary who:

 

--  holds a CFP®, CIMA®, CPA, CPA/PFS, CFA or other designation requiring CE annually  

--  likes Fritz Meyer, Craig Israelsen, Bob Keebler or Andy Gluck

--  relies on economic fundamentals

--  broadly diversifies a core of client portfolios in low-expense funds

--  strategically invests based on MPT

--  offers tax and financial planning advice

--  wants thought leadership when bad news breaks 

 

A4A courses, accredited by the CFP Board, IWI, and NASBA, power a special brand of independent financial advice. We also leverage the Web to benefit consumers as well as fiduciaries enrolled in our classes.

 

 

   JOIN