IAR Archives

IAR CE Requirements Now in Effect in Several More States

IARs in states that are now subject to the CE requirements must complete the required credit hours by December 31.

January 13, 2023

How Can Advisers With Multiple Branch Offices or Remote Work Arrangements Effectively Supervise Risk?

Given the SEC’s increased scrutiny, it’s vital that advisers make appropriate investments to promote proper supervision and mitigate the risk of supervisory failures.

August 25, 2022

Tags: Compliance Policies, IAR, Trading

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

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

IAA Comments on New York State’s Proposed Regs for IARs

IAA Comments on New York State’s Proposed Regs for IARs June 17, 2020 The IAA has submitted a comment letter to the State of New York regarding its proposed...

June 17, 2020

Tags: IAR, New York

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