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IAA Opposes California Bill Regarding State Liquidation of Investor Assets
The IAA joined a letter opposing changes to California’s unclaimed property law that would allow the state to take custody of and liquidate assets after three years of inactivity by the investor.
August 11, 2026
IAA Requests that Missouri Remove CIC Designation from Proposed Amendment
The IAA requests that Missouri remove the Chartered Investment Counselor (CIC) designation from a proposed amendment to a regulation regarding waivers from examinations. The CIC designation was discontinued in 2025.
July 31, 2026
Explanation of IAA Blue Sky/State Filing Summaries
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July 23, 2026
The IAA files comments on NASAA proposal on non-traded REITs and objects to applying the concentration limit to federal covered advisers; re-proposal follows NASAA’s 2022 proposal that was not adopted.
May 28, 2025
SEC-Registered Investment Adviser Firms State Notice Filing Guide
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March 13, 2025
Comments on NASAA’s Proposed Revision to Statement of Policy Regarding Real Estate Investment Trusts
IAA comments on NASAA proposal on non-traded REITS; objects to applying the proposal and the concentration limit to federal covered advisers.
September 13, 2022
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
Comments on Oklahoma’s Amendments to Standards of Ethical Practice Under the Oklahoma Securities Act
The IAA recommended clarifying that the rule would not apply to investment adviser representatives of SEC-registered investment advisers and recommended removing certain redundant language.
March 23, 2020
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