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Open Categories Menu Currently each state has their own securities laws and their own interpretation of those laws. While many of the laws and regulations are based on the same set of model rules, no two states seem to take the same interpretation with regard to the rules. Enforcement is completely different as [...]
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Posts Tagged ‘ uniform securities act ’
11 March
Posted in
News and Commentary, Regulatory Actions
2
NASAA Proposes Multi-State No-Action Request Process
9 August
Posted in
Hedge Fund Questions and Answers
Question: can my firm have a “silent owner”
Question: I am a manager registered as an investment adviser in [State]. Can I have a “silent owner” who solicits clients for the management company or the fund? Also, since the owner is only a “silent owner” who does not do any of the trading, will the “silent owner” need [...]
