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...
SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs April 16, 2021 The SEC’s Investor Advisory Committee’s (IAC’s) March meeting issued draft recommendations on minority and...
New NY Rule Requires Registration of Investment Adviser Representatives, Includes Changes Requested by the IAA December 15, 2020 The State of New York has adopted rules to require the...
NASAA Adopts Model Rule on Continuing Education Requirements December 9, 2020 The North American Securities Administrators Association (NASAA) has adopted, substantially as proposed, a model rule to implement a...
Kansas Trust Company Fined for Operating Unregistered Investment Companies Commissioner Peirce Charges SEC with Regulation by Enforcement October 9, 2020 The SEC has fined a Kansas state-chartered trust company...
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...
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...
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