Sweeping Victory for IAA and Investment Advisers in MO Preemption Case
A federal district court in Missouri has handed the IAA and our members a sweeping victory, holding that federal law prevents states from imposing substantive regulation on SEC advisers and their adviser personnel.
August 14, 2024
Important Changes to California’s Non-Compete Laws
Employers with California-based employees hired after January 1, 2022, must notify them by February 14, 2024, that existing non-compete clauses are unenforceable under new state laws.
February 08, 2024
Massachusetts Supreme Judicial Court Upholds Fiduciary Duty Rule for Broker-Dealers
The regulation, challenged by Robinhood, requires broker-dealers to act as fiduciaries when providing investment advice to clients.
August 30, 2023
IAR CE Requirements Now in Effect in Several More States
IARs in states that are now subject to the CE requirements must complete the required credit hours by December 31.
January 13, 2023
IAA Comments on NASAA’s Proposed REIT Guidelines
IAA comments on NASAA proposal on non-traded REITs; objects to applying the proposal and the concentration limit to SEC-registered advisers.
September 20, 2022
Texas Blacklists Financial Firms Over Alleged Energy Boycotts
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September 19, 2022
Massachusetts Court Invalidates State’s Fiduciary Duty Rule
Massachusetts court declares the Massachusetts fiduciary duty rule invalid.
April 06, 2022
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
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