The independent broker-dealer is set to open a public affairs office in the nation's capital in response to increased federal regulation.
Former general counsel sees room for organization to grow more
Program guarantees members coverage at a group rate FSI has secured as the plan sponsor.
NASAA forms committee to tackle elder financial abuse and growing complexity of financial products.
Agency's Investor Advisory Committee thinks current standard of income, wealth oversimplifies who should qualify to buy private offerings.
Advisers and others in investment industry disagree about how or whether the accredited investor standard should be changed
NASAA working group not going to draw conclusions about whether fees are too high, just how to make them more transparent.
Fat commissions could be trimmed if states approve regulations affecting the sale of nontraded real estate investment trusts.
The regulator will consider a revised version of a rule requiring brokers to disclose recruitment incentives at its board meeting next week.
Louisiana financial planner makes trek to DC to lobby senator on user fee bill
