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Policy Proposal to Boost Economic Growth Includes Online Capital Formation, Digital Assets and More

Policy Proposal to Boost Economic Growth Includes Online Capital Formation, Digital Assets and More
Earlier this year,
Senator Pat Toomey, the ranking member of the
Senate Banking Committee, issued a call for policy proposals that could boost economic growth. Key policy moves designed to generate more jobs and improve prosperity are always needed – even more so on the heels of a health crisis.
One of the submissions forwarded to the Committee came from two economic policy experts,
Norbert Michel. Burton is Senior Fellow in Economic Policy, Roe Institute for Economic Policy Studies, Institute for Economic Freedom and Opportunity, at The Heritage Foundation. Michel is Director, Center for Data Analysis, at The Heritage Foundation. ....

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New Registration And Examination Requirements For New York Investment Adviser Representatives | Lowenstein Sandler LLP

What You Need To Know:
Personnel for certain investment advisers and solicitors with natural person clients in New York will have to meet new registration and examination requirements.
Affected persons must be approved before December 2, 2021, to continue conducting investment advisory business in New York state.
Effective February 1, 2021, amendments to the New York Investment Advisory Act (the “Amendments”) require supervised persons representing certain New York-registered investment advisers, and, to a lesser degree, investment advisers registered with the Securities and Exchange Commission (“SEC”), to register with the New York Department of Law’s Investor Protection Bureau (the “Department”) and meet new examination requirements. These supervised persons, called investment adviser representatives, have until August 31, 2021 to meet the new requirements and must have their registration approved before December 2, 2021 to continue operating within New ....

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Limited Time to Obtain Special Exam Waiver – IARs in New York Must Now Register | Locke Lord LLP

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The New York State Department of Law recently adopted regulations (“NY IAR Regs”) that, starting February 1, 2021, require Investment Adviser Representatives (“IAR”) representing a New York state registered investment adviser or solicitor, or representing an SEC registered investment adviser conducting advisory activities from a place of business in New York, to meet certain examination and registration requirements under New York’s Investment Advisory Act. The NY IAR Regs also require IARs to register through the Central Registration Depository/Investment Adviser Registration Depository (“CRD/IARD”) and, in many cases, pass an examination. ....

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February 1, 2021 Deadline: Mandatory Registration for New York Investment Advisers | Bressler, Amery & Ross, P.C.

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On December 1, 2020, the New York State Department of Law finalized proposed amended regulations to the New York Investment Advisory Act, 13 N.Y.C.R.R. Section 11, requiring investment adviser representatives (“IAR”) who engage in business within or from New York to register with the New York Investor Protection Bureau and meet certain exam requirements. Previously, New York state-covered IARs were not required to register like IARs in most other states by filing a Form U4 through FINRA’s CRD/IARD system. That meant that New York IARs were legally able to conduct business without providing the typical publically available disclosures to investors through the FINRA-operated Investment Adviser Public Disclosure (“IAPD”) website. ....

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