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...
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...
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...
Oklahoma Drops Fiduciary Duty Proposal, Adopts IAA’s Language in Updating State Investment Adviser Regulations April 15, 2020 Responding favorably to requests from the IAA, Oklahoma’s Department of Securities has...
Oklahoma Proposes Fiduciary Rule for Investment Advisers March 11, 2020 Oklahoma recently proposed amendments to its investment adviser regulations. Most of the proposed regulations apply only to investment advisers...
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