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Topic: State Regulatory Initiatives

Information Security Rule Proposed by State Securities Regulators Association

October 19, 2018
Rules and guidance from the SEC on cybersecurity and related matters have been proposed and/or issued in recent years but the agency is not the only regulator taking action in these areas. States also have the authority to regulate securities entities and the association representing state and provincial securities regulators in the United States, Canada and Mexico, the North American Securities Administrators Association (NASAA), is seeking comment on a proposed information security and data privacy model Rule and related amendments.

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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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