The North American Securities Administrators Association’s newly released 2024-25 investment advisor section annual report highlights the work done by the NASAA Investment Advisor Section and its ...

CNBC has unveiled its Financial Advisor 100 list for 2025, ranking the top financial advisors and firms across the United ...

T he SEC and an association of state securities administrators have formally introduced a Web-based depository of information on investment advisory firms, ushering in a new phase of the digital age ...

Investment advisers who provide state and local governments with advice on using municipal derivatives in their investment portfolios won't have to register with the Securities and Exchange Commission ...

CNBC's Financial Advisor 100 ranks the best financial advisors and top firms for 2025. Here's how to pick the best financial ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

In a no-action letter, SEC staff have indicated they will not pursue enforcement against advisers using state trusts as ...

The Tennessee Department of Commerce & Insurance’s Securities Division recently amended its current rules to allow certain investment advisers, private fund advisers, and venture capital firms whose ...