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State Securities Regulators Seek to Tighten Investment Information Security Rules for State-licensed Investment Advisors

On September 23, 2018, the North American Securities Administrators Association, Inc. (“NASAA”) released three proposed additions and revisions to the investment advisor model rules related to information security and privacy (the “NASAA Information Security Rule Proposals”).[1]  State-licensed investment advisors should expect that some version of these proposed model rules will ultimately be adopted by many Read More