Registered Investment Advisors

Are 9,000 Advisory Firms Going To Miss Thursday's ADV Filing Date?

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Compliance offices have never been so busy, thanks to the looming deadline for RIA firms to file their new ADV forms by April 1. Many say a lot of advisors are simply going to file late.

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FINRA's Rick Ketchum Calls RIA Arguments Against SRO A "Red Herring"

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Maybe the months of fielding preemptive attacks on FINRA's ability to regulate RIAs has gotten on Rick Ketchum's nerves, but his patience seems a little frayed.  

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