Author: Linda Noyes

First, a bit of background: On December 2, 2020 the New York State Department of Law adopted new regulations, to…

We have learned of a potentially major change for New York state and federally covered investment advisers. The New York…

Last week we discussed the changes to the Massachusetts IA Disclosure Rule. That is not the only state legislature that…

The states continue to be busy with new rule-making! On June 14, 2019 the Massachusetts Securities Division (the ‘Division’) adopted…