Regulatory
June 3, 2011
Notice of Proposed Revision to the Rules and Regulations Pursuant to the Delaware Securities Act
June 3, 2011
April 18, 2011
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 […]
February 17, 2011
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 […]
December 10, 2010
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 […]
November 4, 2010
Nebraska Department of Banking and Finance Issues Notice of Rulemaking Hearing
November 4, 2010
October 20, 2010
Maine Issues Licensing Renewal Instructions for Calendar Year 2011
October 20, 2010
October 18, 2010
Utah’s Division of Securities has issued three notices of proposed rules
October 18, 2010
August 18, 2010
