State & Specialized Regulations22
Selected state and specialized federal securities rules affecting advisers and broker-dealers, including custody, Form PF, and net capital provisions.
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)