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Topic: State Regulatory Initiatives

One Percent of Small Firms Report Electronic Theft, Loss or Exposure

November 21, 2014
Ninety-nine percent of small advisory firms those with less than $100 million in assets under management are not likely to run into major cybersecurity problems.

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States Embrace Increased Regulatory Role

June 28, 2013


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NASAA Model Rule Targets Private Fund Advisers

January 21, 2011


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How’s Your Compliance With The Massachusetts Data Privacy Act Coming?

June 22, 2010


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More on Michigan IAR Registration

February 1, 2010


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Illinois Requires Some Advisers to Register as ‘Business Entities’

March 6, 2009


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California Changes its Mind About Hedge Fund Manager Registration

May 9, 2008


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Last Week to Comment on California Hedge Fund Proposal

March 24, 2008


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