Tag: States
In a Victory for IAA Advocacy, Massachusetts Drops SEC-Registered Investment Advisers, Representatives from Fiduciary Standard of Conduct Regulations February 21, 2020 As advocated by the IAA, the Massachusetts Securities...
February 21, 2020
Tags: Fiduciary, Massachusetts, States
Oklahoma Proposes Fiduciary Rule for Investment Advisers
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...
March 11, 2020
IAA to NASAA: Proposed CE Should Leverage Existing IAR Training
The North American Securities Administrators Association (NASAA) has proposed continuing education requirements (CE) for investment adviser representatives (IARs) in a new model rule. The proposed framework would apply to IARs...
May 12, 2020
Tags: Continuing Education, NASAA, States
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