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Summary: A bill introduced in the House of Representatives in February would severely limit state securities regulators and eliminate a level of investor protection, said Joseph Borg, director of the Alabama Securities Commission and president of the North American Securities Administrators Association.
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Summary: It’s an annual ritual for our firm: We gather the team together and take a long, hard look at what transpired over the previous 12 months. Working together, we examine deals both large and small, dissect the headlines, hearsay and study the players—all resulting in an annual report that we make available to professionals in the wealth management industry.
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Summary: Broker-dealers and investment advisers have had two weeks to dissect the Securities and Exchange Commission's proposed overhaul of investment-advice standards, and some big questions have begun to emerge.
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Summary: In this topsy-turvy profession, emotional support tends to come from the same people who help us through all the ups and downs of life: our spouse, family members and close friends.
