News & Advocacy
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ADISA Joins Coalition in Joint Comment Letter to Massachusetts on Proposed Fiduciary Regulation
Jul 26, 2019, 00:00 AM by Patty GregaADISA joined major financial services trade associations as a signatory to a letter to the Office of the Secretary of the Commonwealth, Massachusetts Securities Division, regarding proposed regulation “to apply a fiduciary conduct standard on broker-dealers, agents, investment advisers, and investment advisor representatives when dealing with their customer and clients.”Full story -
ADISA Reacts to SEC Request for Comment
Jun 20, 2019, 00:00 AM by Patty GregaADISA president Greg Mausz, Preferred Capital Securities, noted today that, “ADISA appreciates the SEC’s concept release on harmonizing security offering exemptions. This includes private offerings as well as the accredited investor definition — matters that are crucial to our industry. In the past few years these exemptions have grown more complex, and ADISA and other trade associations in the investment space are certainly willing to take a look at a comprehensive review.”Full story -
ADISA Joins SIFMA-led Coalition in Joint Comment Letter to New Jersey on Proposed Fiduciary Duty of BDs and Investment Advisers
Jun 17, 2019, 00:00 AM by Patty GregaADISA joined SIFMA and other major financial services trade associations as signatory to a letter to the New Jersey Bureau of Securities’ request for comments on the state’s draft fiduciary duty regulations.Full story -
ADISA Submits Comment Letter and Petition to New Jersey Bureau of Securities Regarding Proposed Fiduciary Duty of Broker-Dealers and Investment Advisers
Jun 14, 2019, 00:00 AM by Patty GregaADISA submitted a letter today and a petition to the New Jersey Bureau of Securities’ request for comments on the state’s draft fiduciary duty regulations.Full story -
ADISA Calls on NJ Constituents to Take Action on Proposed Fiduciary Duty Rule
Jun 7, 2019, 00:00 AM by Patty GregaRight now, the New Jersey Bureau of Securities is considering a proposed regulation that will impact all Broker-Dealers and their registered representatives in the state.Full story -
SEC Votes to Adopt Regulation Best Interest
Jun 5, 2019, 00:00 AM by Patty GregaOn Wednesday, June 5, the U.S. Securities and Exchange Commission voted to adopt Regulation Best Interest, which will require that broker-dealers and registered representatives act in the best interest of their clients.Full story -
ADISA Visits Capitol Hill
May 31, 2019, 00:00 AM by Patty GregaADISA’s 2019 president, Greg Mausz (Preferred Apartment Communities) and ADISA’s executive director, John Harrison, recently met in Washington with the leadership of NASAA (North American Securities Administrators Association) and various congressional offices to advance the mission of the retail alternatives investment industry.Full story -
SEC to Vote on RBI on June 5: What it Means to ADISA Members
May 28, 2019, 00:00 AM by Patty GregaRegulation Best Interest and other items impacting the alternative direct investment industry are headed to a vote on June 5th, the U.S. Securities and Exchange Commission has announced via an open meeting agenda posted on its website.Full story -
Research You Can Use: February 2019
Feb 27, 2019, 00:00 AM by Patty GregaADISA's executive director, John Harrison, reviews current academic research touching our space and brings it to you in condensed, one-page highlights.Full story -
ADISA Submits Own Letter and Co-Signs Coalition Letter on Draft Regulations Pertaining to Nevada's Proposed Fiduciary Duty Regulation
Feb 27, 2019, 00:00 AM by Patty GregaADISA urges Nevada members to sign petition to amend Nevada Securities Division's proposed fiduciary regulation, signs joint coalition letter and submits own comment letterFull story -
ADISA Submits Comments Regarding FINRA 2018 Exam Findings
Jan 18, 2019, 00:00 AM by Patty GregaADISA responded and provided feedback on the 2018 Examination Findings issued by FINRA last month.Full story -
ADISA Continues Efforts on NJ Fiduciary Rule
Dec 17, 2018, 00:00 AM by J FitzgeraldTo add to its earlier efforts on the NJ Fiduciary Rule, ADISA has joined major financial services trade associations as signatory to a letter to the chief of the New Jersey Bureau of Securities in response to the state’s uniform fiduciary standard pre-proposal.Full story -
John Grady Presents at New Jersey's Fiduciary Duty Information Conference
Nov 19, 2018, 00:00 AM by J FitzgeraldADISA’s Immediate-Past President, John Grady of DLA Piper LLP, provided comments on New Jersey’s Pre-proposed Amendment 2018-004, known as the Fiduciary Rule, at a hearing conducted by the New Jersey Division of Consumer Affairs and its Bureau of Securities on November 19, 2018, in Newark, New Jersey.Full story -
ADISA Comments on Proposed Regulations Concerning the Deduction for Qualified Business Income Under IRS Section 199A
Oct 1, 2018, 00:00 AM by J FitzgeraldFull story -
NBA Legend Earvin "Magic" Johnson to Keynote ADISA's 2018 Annual Conference & Trade Show
Jul 20, 2018, 00:00 AM by J FitzgeraldADISA, the nation’s largest trade association representing the non-traded alternative and direct investment space, announced today that NBA legend and Naismith Memorial Basketball Hall of Fame inductee Earvin “Magic” Johnson will keynote its 2018 Annual Conference & Trade Show at the ARIA Resort & Casino in Las Vegas on October 8-10.Full story -
Legislative & Regulatory Update: June 2018
Jun 5, 2018, 00:00 AM by J FitzgeraldFull story -
ADISA Submits Comments on FINRA Notice 18-08
Apr 28, 2018, 00:00 AM by J FitzgeraldADISA recently submitted comments to FINRA’s office of the corporate secretary in response to FINRA’s Regulatory Notice 18-08, which seeks comments on proposed Rule 3290, which would replace current FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of Associated Persons).Full story -
ADISA Comments on California Assembly Bill No. 2529
Apr 13, 2018, 00:00 AM by J FitzgeraldFull story
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ADISA Joins Coalition in Joint Comment Letter to Massachusetts on Proposed Fiduciary Regulation
Jul 26, 2019, 00:00 AM by Patty GregaADISA joined major financial services trade associations as a signatory to a letter to the Office of the Secretary of the Commonwealth, Massachusetts Securities Division, regarding proposed regulation “to apply a fiduciary conduct standard on broker-dealers, agents, investment advisers, and investment advisor representatives when dealing with their customer and clients.”Full story -
ADISA Reacts to SEC Request for Comment
Jun 20, 2019, 00:00 AM by Patty GregaADISA president Greg Mausz, Preferred Capital Securities, noted today that, “ADISA appreciates the SEC’s concept release on harmonizing security offering exemptions. This includes private offerings as well as the accredited investor definition — matters that are crucial to our industry. In the past few years these exemptions have grown more complex, and ADISA and other trade associations in the investment space are certainly willing to take a look at a comprehensive review.”Full story -
ADISA Joins SIFMA-led Coalition in Joint Comment Letter to New Jersey on Proposed Fiduciary Duty of BDs and Investment Advisers
Jun 17, 2019, 00:00 AM by Patty GregaADISA joined SIFMA and other major financial services trade associations as signatory to a letter to the New Jersey Bureau of Securities’ request for comments on the state’s draft fiduciary duty regulations.Full story -
ADISA Submits Comment Letter and Petition to New Jersey Bureau of Securities Regarding Proposed Fiduciary Duty of Broker-Dealers and Investment Advisers
Jun 14, 2019, 00:00 AM by Patty GregaADISA submitted a letter today and a petition to the New Jersey Bureau of Securities’ request for comments on the state’s draft fiduciary duty regulations.Full story -
ADISA Calls on NJ Constituents to Take Action on Proposed Fiduciary Duty Rule
Jun 7, 2019, 00:00 AM by Patty GregaRight now, the New Jersey Bureau of Securities is considering a proposed regulation that will impact all Broker-Dealers and their registered representatives in the state.Full story -
SEC Votes to Adopt Regulation Best Interest
Jun 5, 2019, 00:00 AM by Patty GregaOn Wednesday, June 5, the U.S. Securities and Exchange Commission voted to adopt Regulation Best Interest, which will require that broker-dealers and registered representatives act in the best interest of their clients.Full story -
ADISA Visits Capitol Hill
May 31, 2019, 00:00 AM by Patty GregaADISA’s 2019 president, Greg Mausz (Preferred Apartment Communities) and ADISA’s executive director, John Harrison, recently met in Washington with the leadership of NASAA (North American Securities Administrators Association) and various congressional offices to advance the mission of the retail alternatives investment industry.Full story -
SEC to Vote on RBI on June 5: What it Means to ADISA Members
May 28, 2019, 00:00 AM by Patty GregaRegulation Best Interest and other items impacting the alternative direct investment industry are headed to a vote on June 5th, the U.S. Securities and Exchange Commission has announced via an open meeting agenda posted on its website.Full story -
Research You Can Use: February 2019
Feb 27, 2019, 00:00 AM by Patty GregaADISA's executive director, John Harrison, reviews current academic research touching our space and brings it to you in condensed, one-page highlights.Full story -
ADISA Submits Own Letter and Co-Signs Coalition Letter on Draft Regulations Pertaining to Nevada's Proposed Fiduciary Duty Regulation
Feb 27, 2019, 00:00 AM by Patty GregaADISA urges Nevada members to sign petition to amend Nevada Securities Division's proposed fiduciary regulation, signs joint coalition letter and submits own comment letterFull story -
ADISA Submits Comments Regarding FINRA 2018 Exam Findings
Jan 18, 2019, 00:00 AM by Patty GregaADISA responded and provided feedback on the 2018 Examination Findings issued by FINRA last month.Full story -
ADISA Continues Efforts on NJ Fiduciary Rule
Dec 17, 2018, 00:00 AM by J FitzgeraldTo add to its earlier efforts on the NJ Fiduciary Rule, ADISA has joined major financial services trade associations as signatory to a letter to the chief of the New Jersey Bureau of Securities in response to the state’s uniform fiduciary standard pre-proposal.Full story -
John Grady Presents at New Jersey's Fiduciary Duty Information Conference
Nov 19, 2018, 00:00 AM by J FitzgeraldADISA’s Immediate-Past President, John Grady of DLA Piper LLP, provided comments on New Jersey’s Pre-proposed Amendment 2018-004, known as the Fiduciary Rule, at a hearing conducted by the New Jersey Division of Consumer Affairs and its Bureau of Securities on November 19, 2018, in Newark, New Jersey.Full story -
ADISA Comments on Proposed Regulations Concerning the Deduction for Qualified Business Income Under IRS Section 199A
Oct 1, 2018, 00:00 AM by J FitzgeraldFull story -
NBA Legend Earvin "Magic" Johnson to Keynote ADISA's 2018 Annual Conference & Trade Show
Jul 20, 2018, 00:00 AM by J FitzgeraldADISA, the nation’s largest trade association representing the non-traded alternative and direct investment space, announced today that NBA legend and Naismith Memorial Basketball Hall of Fame inductee Earvin “Magic” Johnson will keynote its 2018 Annual Conference & Trade Show at the ARIA Resort & Casino in Las Vegas on October 8-10.Full story -
Legislative & Regulatory Update: June 2018
Jun 5, 2018, 00:00 AM by J FitzgeraldFull story -
ADISA Submits Comments on FINRA Notice 18-08
Apr 28, 2018, 00:00 AM by J FitzgeraldADISA recently submitted comments to FINRA’s office of the corporate secretary in response to FINRA’s Regulatory Notice 18-08, which seeks comments on proposed Rule 3290, which would replace current FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of Associated Persons).Full story -
ADISA Comments on California Assembly Bill No. 2529
Apr 13, 2018, 00:00 AM by J FitzgeraldFull story