States Archives

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

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

Tags: IAR, New York, States

SEC IAC Focuses on Minority and Underserved Inclusion, Discusses Self-Directed IRAs, SPACs

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...

April 16, 2021

Tags: Caroline Crenshaw, Diversity & Inclusion, Elad Roisman, Hester Peirce, IAC, IPOs, IRAs, SPACs, States

NASAA Adopts Model Rule on Continuing Education Requirements

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...

December 09, 2020

Tags: Continuing Education, NASAA, States

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

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...

December 15, 2020

Tags: IAR, New York, States

New York Proposes to Register Investment Adviser Representatives, Solicitors

New York Proposes to Register Investment Adviser Representatives, Solicitors April 27, 2020 The New York Investor Protection Bureau of the Department of Law is proposing to require any investment...

April 27, 2020

Tags: IAR, New York, States

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

Tags: Privacy, States

Kansas Trust Company Fined for Operating Unregistered Investment Companies

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...

October 09, 2020

Tags: SEC Enforcement, States

Massachusetts Holds Hearing on Fiduciary Proposal

Massachusetts Holds Hearing on Fiduciary Proposal Securities Division Says SEC’s Reg BI Fails to Protect Investors from Conflicts of Interest Updated January 16, 2020 The Massachusetts Securities Division issued...

January 16, 2020

Tags: Fiduciary, Massachusetts, Preemption, States

Massachusetts Issues Fiduciary Proposal, Sets January 7 Hearing

Massachusetts Issues Fiduciary Proposal, Sets January 7 Hearing Securities Division Says SEC’s Reg BI Fails to Protect Investors from Conflicts of Interest December 18, 2019 The Massachusetts Securities Division...

December 18, 2019

Tags: Fiduciary, Massachusetts, Preemption, States

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