Tag: New York
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
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.
April 13, 2021
The State of New York has adopted rules to require the registration of Investment Adviser Representatives (IARs) in New York.
December 15, 2020
IAA Comments on New York State’s Proposed Regs for IARs
The IAA has submitted a comment letter to the State of New York regarding its proposed regulations for investment adviser representatives (IARs).
June 17, 2020
New York Proposes to Register Investment Adviser Representatives, Solicitors
The New York Investor Protection Bureau of the Department of Law is proposing to require any investment adviser representative in New York to register with the state through the Investment Adviser Registration Depository.
April 27, 2020
NY City Bar Association Issues Report on CCO Liability: New Recommendations for the SEC
In recent years, essential gatekeepers have faced increased regulatory focus on holding them personally liable for institutional failures, often arising out of assessments made in hindsight regarding what compliance officers or programs ought to have detected or prevented.
April 27, 2020
Tags: CCO, Guest Column, New York
SEC Grants No-Action Relief for NY Trust Company to Use Blockchain to Settle Equity Trades
The two-year relief permits the company to use this technology to settle certain equity securities trades subject to strict limitations intended to protect market participants.
November 25, 2019
Tags: No-Action Letter, New York
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