The SEC outlined questions to consider before hiring a financial professional.

The Investment Adviser Association and National Regulatory Services reported that the investment adviser profession is growing and evolving, creating more jobs and managing assets for a greater number of clients.

The North American Securities Administrators Association outlined ways immigrant investors can avoid various forms of fraud that have been associated with the EB-5 visa program.

The SEC extended the comment period for its proposal to consolidate and modernize property disclosure requirements and provide related guidance for mining registrants.

The SEC requested comments on an MSRB proposal to delay reporting of information concerning underwriters of programs under the Stephen Beck, Jr., Achieving a Better Life Experience Act of 2014.