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Topic: State Regulatory Initiatives

IAA and ICI Protest State Attempts to Regulate SEC-Registered Advisers

March 8, 2019
SEC-registered advisory firms are already regulated by the SEC. They don’t need another wave of state rules imposed on them. Further, doing so is against the law.

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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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