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
Tags: NASAA, NSMIA, Preemption, States
Massachusetts Holds Hearing on Fiduciary Proposal
Massachusetts Governor Charlie Baker called on the Securities Division to defer action on the proposal, citing a number of concerns, including that moving forward could adversely affect the availability of investment services and products in Massachusetts.
January 16, 2020
Tags: Fiduciary, Massachusetts, Preemption, States
Massachusetts Issues Fiduciary Proposal, Sets January 7 Hearing
The Massachusetts Securities Division has issued a proposed fiduciary conduct standard that would apply to broker-dealers, agents, investment advisers, and investment adviser representatives.
December 18, 2019
Tags: Fiduciary, Massachusetts, Preemption, States