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
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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
SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs
The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and underserved inclusion in investment and financial services, calling on the SEC to “play an active role...
April 16, 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
NASAA Adopts Model Rule on Continuing Education Requirements
The North American Securities Administrators Association (NASAA) has adopted, substantially as proposed, a model rule to implement a continuing education (CE) program for investment adviser representatives (IARs). The proposed framework...
December 09, 2020
Kansas Trust Company Fined for Operating Unregistered Investment Companies
The SEC has fined a Kansas state-chartered trust company for publicly offering and selling investment units in common trust funds and collective trust funds without having registered those trust funds...
October 09, 2020
With July 1 CCPA Enforcement Date Imminent, Final Regulations are Proposed
With July 1 CCPA Enforcement Date Imminent, Final Regulations are Proposed June 25, 2020; updated June 30, 2020 The California Attorney General has submitted final California Consumer Privacy Act...
June 25, 2020
IAA to NASAA: Proposed CE Should Leverage Existing IAR Training
The North American Securities Administrators Association (NASAA) has proposed continuing education requirements (CE) for investment adviser representatives (IARs) in a new model rule. The proposed framework would apply to IARs...
May 12, 2020