State Securities Regulators Target Advisers in Legislative Agenda

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The North American Securities Administrators Association (NASAA) recently announced it legislative priorities for the upcoming year. Not surprisingly, advisers are front and center.

NASAA’s membership consists of the securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, the provinces and territories of Canada, and Mexico. Its goals for this year revolve around two hot topics—adviser oversight and a uniform fiduciary standard.

More specifically, NASAA’s stated priorities include legislation to:

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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