IAA Today Archive

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

Keywords: NASAA, NSMIA, Preemption, States

Categories & Topics: Compliance, State/Blue Sky

New IAA FAQs Explore New NY Rule Requiring Registration of IARs

The IAA has prepared FAQs on recently adopted state rules requiring the registration of IARs, including those who represent SEC-registered investment advisers from a place of business in New York and satisfy the definition of “investment adviser representative” in Advisers Act Rule 203A-3(a).

September 07, 2021

Keywords: IAR, New York, States

Categories & Topics: Compliance, State/Blue Sky

New NY Rule Requires Registration of Investment Adviser Representatives, Includes Changes Requested by the IAA

The State of New York has adopted rules to require the registration of Investment Adviser Representatives (IARs) in New York.

December 15, 2020

Keywords: IAR, New York, States

Categories & Topics: Compliance, State/Blue Sky

NASAA Adopts Model Rule on Continuing Education Requirements

NASAA has adopted a model rule to implement a continuing education (CE) program for investment adviser representatives.

December 09, 2020

Keywords: Continuing Education, NASAA, States

Categories & Topics: Compliance, State/Blue Sky