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State Regulators North American Securities Administrators Association

Robinson+Cole Data Privacy + Security Insider

Model Rule for Securities Administrators Approved by NASAA

The North American Securities Administrators Association (NASAA) this week approved an information security model rule package aimed at improving the cybersecurity posture of the 17,543 state-registered advisers....more

Carlton Fields

Broker-Dealer Fee Disclosure Under Microscope

Carlton Fields on

In September, state securities regulators formed a working group aiming to make broker-dealers’ disclosures about their fees more clear, accessible, and useful to investors in comparing different firms’ charges. The group...more

Allen Matkins

Does The SEC’s Regulation A Proposal Defy Congress’ Clear Intent?

Allen Matkins on

This week’s announcement by the Securities and Exchange Commission that it is proposing amendments to update and expand Regulation A has attracted quite a bit of attention. David Lynn writing in Broc’s Blog took special note...more

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