All: Regulatory Activity

New Model Rules Pertaining to Investment Adviser Custody

NASAA’s Investment Adviser Section and Investment Adviser Regulatory Policy and Review Project Group are rereleasing for comment from interested persons proposed changes to the NASAA model rule pertaining to investment adviser custody. Download: Background Memo and Proposed Model Rule The comment period will remain open for 30 days. Accordingly, all comments should be submitted on or […]

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New Model Rules Pertaining to Investment Adviser Custody and Brochure Requirements

NASAA’s Investment Adviser Regulatory Policy and Review Project Group is soliciting comments from interested persons regarding proposed changes to the NASAA model rules pertaining to investment adviser custody, financial requirements, recordkeeping and brochure delivery. Download: Background Memo and Proposed Model Rules The comment period begins on Thursday, February 17, 2011, and will remain open for 14 […]

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Proposed NASAA Model Rule on Private Fund Adviser Registration and Exemption

The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) made significant changes to the provisions governing the regulation of investment advisers under the Investment Advisers Act of 1940 (“IAA”). In addition to expanding the states’ oversight of investment advisers by increasing the assets under management threshold for registration with the Securities and Exchange […]

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Nebraska Department of Banking and Finance Issues Notice of Rulemaking Hearing

November 4, 2010 Print | PDF | Email

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Maine Issues Licensing Renewal Instructions for Calendar Year 2011

October 20, 2010 Print | PDF | Email

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Utah’s Division of Securities has issued three notices of proposed rules

October 18, 2010 Print | PDF | Email

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Washington Proposes to Amend Accredited Investor Definition to Conform with Federal Law

August 18, 2010 Print | PDF | Email

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Maryland Interpretive Opinion/No Action Position on Revision to Delivery Requirements Under Maryland Franchise Law

June 18, 2010 Print | PDF | Email

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Wisconsin Notice of Hearing regarding Proposed Rule relating to Minor Revisions to Securities Law and Franchise Law

May 28, 2010 Print | PDF | Email

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Wisconsin Securities Law Penalty Enhancer Legislation Is Signed and Becomes Effective

May 5, 2010  Print | PDF | Email

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