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 ...

Big-name firms are pressing the North American Securities Administrators Association to withdraw proposed revisions to its model rules for broker/dealer conduct. “The Project Group and the ...

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 ...