NASAA: Providing Guidance on the Latest State Developments impacting B-Ds, RIAs and Private Funds

Oct. 2010

 

The North American Securities Administrators Association, (“NASAA”) recently inaugurated its 94th president amidst a year of heavy financial reform. The new President, David S. Massey, will have a full agenda as NASAA works through the various provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) and support the stipulations set forth for state securities departments. Those registered investment advisers transitioning to state regulation should keep a pulse on NASAA’s developments to foreshadow what likely lies ahead for their businesses.

 

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