U.S.-based Registered Investment Adviser (RIA) firms often encounter a situation where an existing client relocates abroad, particularly...

The SEC Withdraws Proposed Cybersecurity Rule: What It Means for RIAs and Broker-Dealers In a notable shift, the U.S. Securities and...

SEC Chair Atkins Charts New Course Away from 'Regulation by Enforcement' Introduction In a statement that’s reverberating across Wall...

NASAA Warns Against Federal Moratorium on State AI Regulation: Implications for Investor Protection The North American Securities...

Why Whiteout is the Enemy of the Regulator In the world of compliance, audit, and regulatory oversight, transparency and integrity of...

Expanding Horizons: New States Embrace NASAA's IAR CE Model Rule for 2025 and 2026 The landscape of investment adviser regulation is...

Demystifying the Digital Asset Market Clarity Act: What Investment Advisers Should Know Demystifying the Digital Asset Market Clarity...

What is the SEC Newsletter Exemption? Understanding the SEC Newsletter Exemption: What RIAs Need to Know The term "newsletter exemption"...

As a registered investment adviser (RIA), regulatory compliance is essential — and that includes meeting annual financial reporting...

Which States Have Adopted the SEC's New Marketing Rule for Registered Investment Advisers? The SEC’s new Marketing Rule (Rule 206(4)-1),...