News & Advocacy

Aug 26, 2019, 00:00 AM by Patty Grega

ADISA is pleased to announce an important expansion of its publication efforts, particularly Alternative Investments Quarterly (AIQ) and ADISA’s monthly eNewsletter, The ADISA Advocate. AIQ will begin a new robust electronic version in addition to the popular print product.

Jul 31, 2019, 00:00 AM by Patty Grega

ADISA submitted a letter Friday, July 26, to the Office of the Secretary of the Commonwealth, Massachusetts Securities Division, regarding its proposed regulation “to apply a fiduciary conduct standard on broker-dealers, agendts, investment advisers (“IAs”), and investment adviser representatives when dealing with their customers and clients.”

Jul 26, 2019, 00:00 AM by Patty Grega

ADISA 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.”

Jun 20, 2019, 00:00 AM by Patty Grega

ADISA 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.”

Jun 17, 2019, 00:00 AM by Patty Grega

ADISA 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.

Jun 14, 2019, 00:00 AM by Patty Grega

ADISA 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.

Jun 7, 2019, 00:00 AM by Patty Grega

Right 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.

Jun 5, 2019, 00:00 AM by Patty Grega

On 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.

May 31, 2019, 00:00 AM by Patty Grega

ADISA’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.

May 28, 2019, 00:00 AM by Patty Grega

Regulation 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.

Feb 27, 2019, 00:00 AM by Patty Grega

ADISA's executive director, John Harrison, reviews current academic research touching our space and brings it to you in condensed, one-page highlights.

Feb 27, 2019, 00:00 AM by Patty Grega

ADISA urges Nevada members to sign petition to amend Nevada Securities Division's proposed fiduciary regulation, signs joint coalition letter and submits own comment letter

Jan 18, 2019, 00:00 AM by Patty Grega

ADISA responded and provided feedback on the 2018 Examination Findings issued by FINRA last month.

Dec 17, 2018, 00:00 AM by J Fitzgerald

To 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.

Nov 19, 2018, 00:00 AM by J Fitzgerald

ADISA’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.

Oct 1, 2018, 00:00 AM by J Fitzgerald

Jul 20, 2018, 00:00 AM by J Fitzgerald

ADISA, 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.

Jun 5, 2018, 00:00 AM by J Fitzgerald

Apr 28, 2018, 00:00 AM by J Fitzgerald

ADISA 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).

Apr 13, 2018, 00:00 AM by J Fitzgerald