New IAA FAQs Explore New NY Rule Requiring Registration of IARs
Implementation Period Lasts Through December 2 To assist our New York members, the IAA has prepared FAQs on recently adopted state rules requiring the registration of IARs, including those who...
September 07, 2021
New York Adopts LIBOR Law, Effective Immediately
New York’s long anticipated legislation to discontinue use of the London Inter-Bank Offered Rate (LIBOR) was signed into law on April 6 and is effective immediately. The New York law...
April 13, 2021
The State of New York has adopted rules to require the registration of Investment Adviser Representatives (IARs) in New York, including those IARs who represent SEC-registered investment advisers from a...
December 15, 2020
New York Proposes to Register Investment Adviser Representatives, Solicitors
New York Proposes to Register Investment Adviser Representatives, Solicitors April 27, 2020 The New York Investor Protection Bureau of the Department of Law is proposing to require any investment...
April 27, 2020
NY City Bar Association Issues Report on CCO Liability: New Recommendations for the SEC
April 17 2020
April 27, 2020
SEC Grants No-Action Relief for NY Trust Company to Use Blockchain to Settle Equity Trades
SEC Grants No-Action Relief for NY Trust Company to Use Blockchain to Settle Equity Trades November 25, 2019 The SEC’s Division of Trading and Markets has granted no-action relief...
November 25, 2019
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL
