Group set to launch lobbying days in Florida, Texas, New York and California.
Investment Adviser Association names its general counsel, Karen Barr, as its president and CEO.
The prospects of the passage of fiduciary rules to protect investors looked bright four years ago, but have waned considerably. Mark Schoeff Jr. looks at what's changed.
Most advisers are assessing electronic security, but approaches and frequency vary widely.
Finra's just-released regulatory and exam priorities for the new year include an unusual directive that brokers act in the best interests of clients regardless of current rules.
After decade of industry evolution, agency hopes to get up to speed.
With women representing only 11.5% of advisers, trade group plans to highlight women in industry.
Regulators alarmed at lack of knowledge brokers demonstrate about the products they're selling.
On 4th anniversary of Dodd-Frank, adviser issues remain unresolved as regulators give priority to other more pressing mandatory provisions.
Andrew Bowden, director of the Office of Compliance Inspections and Examinations, will be returning to the private sector.
