Explanation of IAA Blue Sky/State Filing Summaries
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March 13, 2025
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Explanation of IAA Blue Sky/State Filing Summaries
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March 13, 2025
SEC-Registered Investment Adviser Firms State Notice Filing Guide
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March 13, 2025
State-by-state summary of registration requirements for Investment Adviser Representatives (IARs) of SEC advisers.
February 02, 2024
Comments on Nevada’s Revised Proposed Fiduciary Duty Regulations
The IAA submitted a letter to Nevada expressing appreciation that its revised proposed regulations regarding fiduciary duty includes language clearly stating that the provisions of the regulation would only apply to an SEC Adviser as permitted by the National Securities Markets Improvement Act of 1996 (NSMIA).
August 02, 2022
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