Corporate & Securities Law

By Jim Hamilton

New Jersey Adopts BD, Agent, IA and IA Rep. Changes

Changes clarifying application and post-registration requirements, increasing fees and adding dishonest, unethical practice provisions for broker-dealers, agents, issuer-agents, investment advisers and investment adviser representatives were adopted by the New Jersey Securities Bureau. Other amendments clarify the investment company renewal notice requirement, update statutory references in certain exemption rules, provide correct websites for obtaining particular forms online, modify nomenclature and delete outdated phrases.

The changes took effect October 6.

For more information go to http://www.njsecurities.gov/

Full post as published by Jim Hamilton's World of Securities Regulation on October 24, 2008 (boomark / email).