January 25, 2021
First, a bit of background: On December 2, 2020 the New York State Department of Law adopted new regulations, to…
Author: Linda Noyes
May 12, 2020
We have learned of a potentially major change for New York state and federally covered investment advisers. The New York…
September 30, 2019
Last week we discussed the changes to the Massachusetts IA Disclosure Rule. That is not the only state legislature that…
September 23, 2019
The states continue to be busy with new rule-making! On June 14, 2019 the Massachusetts Securities Division (the ‘Division’) adopted…