State & Specialized Regulations22
17 CFR § 240.15c3-1 · 17 CFR § 275.204-1 · 17 CFR § 275.204(b)-1 · 23 NYCRR § 500.11 · 23 NYCRR § 500.12 · 23 NYCRR § 500.15 · 23 NYCRR § 500.17 · 23 NYCRR § 500.17(b) · 23 NYCRR § 500.2 · 23 NYCRR § 500.4 · 23 NYCRR § 500.9 · Cal. Civ. Code § 1798.100 · Cal. Civ. Code § 1798.120 · Investment Advisers Act · Investment Advisers Act § 206 / SEC Enforcement · Investment Advisers Act Section 206 · NASAA Model Rule 102(e)(1)-1 / State Adoption · Securities Exchange Act · Uniform Securities Act § 301 / State Statutes · Uniform Securities Act § 401 / State Statutes · Uniform Securities Act § 403 / State Statutes
Requirements in this framework
- Annual Compliance Certification
- CCPA Consumer Financial Data Rights
- Chief Information Security Officer Designation
- Form ADV Annual Amendment Filing
- Form PF Private Fund Reporting
- Multi-Factor Authentication Requirements
- NASAA Model Rule on Custody of Client Funds and Securities
- Net Capital Rule (Broker-Dealer Liquidity)
- NYDFS Cybersecurity Event Notification
- NYDFS Cybersecurity Program Requirements
- NYDFS Cybersecurity Risk Assessment
- NYDFS Encryption of Nonpublic Information
- NYDFS Third-Party Service Provider Security Policy
- Private Fund Fee and Expense Compliance
- Private Fund Fee and Expense Enforcement Priority
- Right to Opt Out of Sale and Sharing of Personal Information
- SEC Form ADV Annual Updates (Rule 204-1)
- SEC Form PF (Private Fund Reporting)
- SEC Net Capital Rule (Broker-Dealer Liquidity)
- State Broker-Dealer Registration and Conduct
- State Investment Adviser Registration
- State Securities Registration (Blue Sky Laws)