2020 NASAA Virtual Annual Meeting

Join Oyster Consulting Associate Director Bill Reilly at the 2020 NASAA Virtual Annual Meeting.  Topics will include: Reg BI: Two Months In – Is This Standard Delivering on Its Promise? Recent Developments in Corporation Finance Ensuring Quality Advice in Uncertain Times: Continuing Education and Evolving Fee Models Protecting Seniors During Times of Increased Social Isolation… READ MORE

2019 NASAA Annual Conference Highlights Investment Advisor Exam and Enforcement Activity

2019 marked the 100th year of state regulation of the securities industry.  Although this milestone was the focus of the 2019 NASAA Annual Conference last week in Austin, Texas, NASAA also released two reports on the results of coordinated examinations of state registered investment advisors and enforcement activity. According to the 2019 Investment Advisor Coordinated… READ MORE

Digital Assets and State Regulatory Challenges

One of the challenges for firms regulated by states is the state’s autonomy to both draft and enforce their own laws It is important to be aware of the regulations in any states where you may be conducting business, including the offer or sale of digital assets. A review of state regulations reveals one common… READ MORE