Ney Announces New NASAA Guide for Protecting Senior Investors from Financial Exploitation
NASAA released a guide to assist broker-dealer and investment adviser firms in developing practices and procedures to detect and address instances of diminished capacity in senior and other clients and suspected cases of senior financial exploitation.
Special Order Issued to Designate OTCQX Market Information As An Electronic Securities Manual
Commissioner Ney issued a Special Order on September 7, 2016 to designate OTCQX marketplace information as a nationally recognized securities manual for purposes of the “manual exemption.”
Important Notice to IAs: Corrections Made to KAR 81-14-9(b)(2)(B) Regarding Safekeeping Requirements
Commissioner Ney issued a Special Order on July 25, 2016 which corrects provisions under KAR 81-14-9(b)(2)(B) regarding exceptions from safekeeping requirements for Kansas-registered Investment Advisers that advise and manage private investment funds.
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