In This Section
FAQs
Investment Adviser Backgound Information
Links
Statements of Policy/Model Rules/Resolutions/MOUs
Comment Letters
Form ADV
Privacy Guidance for State-Registered IAs
NASAA Model Custody Rule Q&A
Transition Process and Renewal Information for IA Representatives and Firms (pdf)
The NASAA Investment Adviser Section provides current information about changes and developments in state regulation of investment advisers. For information on the Series 63, 65, and 66 exams, please visit the Exams section of NASAA’s website.
Update:
Important Reminder and Clarification for State Jurisdictions and Investment Adviser Firms:
Deadline For Completion of the New Form U4 Regulatory Action Questions
NEW:
Contact Information:
For technical or financial assistance relating to investment adviser firms or representatives, call or e-mail the Gateway Call Center at (240) 386-4848.
State registrants, and SEC-registered firms with IA representative questions, can obtain general assistance from NASAA by calling (202) 737-0900 between 8:30 a.m. and 6 p.m. Eastern. SEC registrants should contact the SEC at (202) 551-7250 or IARDLIVE@sec.gov for interpretive and regulatory assistance.
