The North American Securities Administrators Association (NASAA) has approved amendments to the group’s model conduct rules built around the SEC's Regulation Best Interest, according to NASAA ...
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State Marketing Rules for Financial Advisors Don’t Match the SEC’s. Nasaa Wants to Fix That.
State securities regulators are seeking feedback on a proposal to align state-level marketing rules for investment advisors with federal regulations. The North American Securities Administrators ...
Various compliance consultants think advisors and clients alike would benefit if state regulators were playing from the same rule book as federal watchdogs when policing firms' marketing statements.
Financial advisors are voicing strong support for a proposed state-level rule that would restrict certain professionals in wealth management from adopting the "advisor" title. Processing Content But ...
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