Public is confused about the distinction between investment advisors and broker-delears
Investors frustrated with low interest rates are susceptible to fraud, NASAA warns
Available info includes customer complaints, disciplinary incidents
House fiduciary standard provides strong investor protection
State securities regulators “profoundly disappointed” by latest Senate bill
Group calls for fiduciary standards for anyone giving investment advice
Draft bill would impose fiduciary duty on all who provide investment advice
State and provincial regulators play an important role, incoming president says
Top priority is to protect investors
Association will host a Regulatory Reform Roundtable next month in Washington, D.C.