Sunday April 26, 2015

Recent News

NASAA adopts model business continuity rule for advisers

NASAA has adopted a state model rule and related guidance concerning business continuity and succession planning for investment advisers. The model rule and guidance are intended to ensure that

NFA Notice to Members I-15-13

On April 8th, the National Futures Association ("NFA") released Notice to Members I-15-13 to provide Bylaw 1101 guidance for and BASIC display changes to reflect pools for which investment management

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