Attorney General Letitia James speaks during a Law Day ceremony at the Court of Appeals in Albany on May 1, 2019. (Photo by David Handschuh/NYLJ) NY Adopts AG James' Rule Changes to Investment Professional Oversight
"It is more important than ever for New Yorkers to know who they are dealing with when making an investment, and these rules will do exactly that by expanding the registration and tracking of individual investment advisers," James said Tuesday.
December 02, 2020 at 12:54 PM
4 minute read
New York Attorney General Letitia James on Tuesday announced that final rules have been adopted, some of which go into effect Wednesday, that strengthen state oversight of the investment advisory industry, marking "a significant step forward in our efforts to protect New York investors and oversee securities sales practices."
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