Tag: New York
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
New York Adopts LIBOR Law, Effective Immediately
New York Adopts LIBOR Law, Effective Immediately April 13, 2021 New York’s long anticipated legislation to discontinue use of the London Inter-Bank Offered Rate (LIBOR) was signed into law...
April 13, 2021
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
NY City Bar Association Issues Report on CCO Liability: New Recommendations for the SEC
April 17 2020
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
SEC Grants No-Action Relief for NY Trust Company to Use Blockchain to Settle Equity Trades November 25, 2019 The SEC’s Division of Trading and Markets has granted no-action relief...
November 25, 2019
Tags: No-Action Letter, New York
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
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
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