IA Switch Calendar of Events

NASAA members are holding seminars in the months leading up to the IA switch to help investment advisers within their jurisdictions prepare to change to state regulation. Be sure to check this page frequently for events in your area.

2012  
Month          Event
   
July  
 
  • July 27, 2012
    IA Workshop
    Presented by the North Carolina Securities Division
    10:00 a.m. – 2:00 p.m.
    North Carolina Securities Division – Large Conference Room
    4701 Atlantic Avenue, Suite 116
    Raleigh, NC 27604
    Registration Details 

April  
 
  • April 26, 2012
    IA Switch Seminar
    Presented by the Michigan Securities Division
    8:30 a.m. – noon (for current state-registered IAs)
    1 p.m. – 4:30 p.m. (for IAs transitioning from SEC to state) 
    Lansing Community College – West Campus
    5708 Cornerstone Dr.
    Lansing, MI
    Details 
March  
 
  • March 22, 2012
    Transition Workshop
    Presented by the D.C. Dept. of Insurance, Securities and Banking
    (DISB)
    9 a.m. – noon
    DISB 
    810 First St NE, 7th Floor Large Conference Room
    Washington, DC
    Registration Information | Agenda 
January  
 
  • January 31, 2012
    Investment Adviser Training Conference
    Presented by the Massachusetts Securities Division
    8:30 a.m. – 12:30 p.m.
    Best Western Royal Plaza Hotel and Trade Center
    Marlborough, MA
    Details

     

 
  • January 23, 2012
    IA Switch Presentation
    Presented by the New Jersey Bureau of Securities
    10:30 a.m. and 1 p.m.
    Rutgers University
    Busch Campus Center
    604 Bartholomew Road
    Piscataway, NJ 08854
    Register by e-mail by January 6*
    *Please indicate a.m. or p.m. session 
   
2011       
Month          Event
   
December  
 
  • December 19, 2011
    The Switch Seminar
    Presented by the Colorado Division of Securities
    2 p.m. – 4 p.m.
    Civic Center Plaza Building
    1560 Broadway
    Denver, CO
    Details

  • December 13, 2011
    The Switch Seminar
    Presented by the Colorado Division of Securities
    2 p.m. – 4 p.m.
    Civic Center Plaza Building
    1560 Broadway
    Denver, CO
    Details

  • December 12, 2011
    The Switch Seminar
    Presented by the Colorado Division of Securities
    2 p.m. – 4 p.m.
    Civic Center Plaza Building
    1560 Broadway
    Denver, CO
    Details
  • December 8, 2011
    Outreach Seminar for Investment Advisers
    Presented by the Maryland Division of Securities,
    Office of the Attorney General
    10 a.m. – 1 p.m.
    George Howard Building
    3430 Court House Drive
    Ellicott City, MD 21043
    Banneker Room
    Registration Information 
     
  • December 8, 2011
    IA “Switch” Workshop
    Presented by the Nebraska Department of Banking
    and Finance Bureau of Securities
    1:00 p.m. to 2:30 p.m.
    Nebraska Department of Banking and Finance
    Commerce Court Building
    Suite 400
    1230 O Street
    Lincoln, NE
    For more information: (402) 471-3445
     
  • December 7, 2011
    The Switch Seminar
    Presented by the Colorado Division of Securities
    2 p.m. – 4 p.m.
    Civic Center Plaza Building
    1560 Broadway
    Denver, CO
    Details

     

  • December 5, 2011
    The Switch Seminar
    Presented by the Colorado Division of Securities
    2 p.m. – 4 p.m.
    Civic Center Plaza Building
    1560 Broadway
    Denver, CO
    Details
  • December 2, 2011
    The Switch Seminar
    Presented by the Colorado Division of Securities
    2 p.m. – 4 p.m.
    Civic Center Plaza Building
    1560 Broadway
    Denver, CO
    Details
     
  • December 1, 2011
    “Switching” Investment Advisor Workshop
    Presented by the Ohio Division of Securities
    10:00 a.m.
    Verne Riffe Center
    77 S. High Street
    Columbus, OH 43215
    31st Floor (South B & C conference rooms)
    Registration Information
  • December 1, 2011
    IA “Switch” Workshop
    Presented by the Nebraska Department of Banking
    and Finance Bureau of Securities
    1:00 p.m. to 2:30 p.m.
    Omaha State Office Building
    Room 233J
    1313 Farnam Street
    Omaha, NE
    For more information: (402) 471-3445
November  
 
  • November 16, 2011
    The Big Switch
    Presented by the Wisconsin Department of Financial Institutions
    Division of Securities
    8:30 a.m. – 12:30 p.m.
    345 West Washington Avenue
    Madison, WI
    Registration Information

     

  • November 16, 2011
    Investment Adviser Workshop
    Regulatory Requirements for DC Licensed IAs
    Presented by  Washington, DC
    Department of Insurance, Securities & Banking
    8:30 am – 12:30 pm
    One Judiciary Square
    441 Fourth Street, NW, Room 1114 South
    Washington, DC 20001
    More Details
    Registration Information
August  
 
  • August 24, 2011
    IA Switch Seminar
    Presented by the Alabama Securities Commission
    10 a.m.
    Alabama Center for Commerce Auditorium
    401 Adams Avenue, Suite 770 (7th Floor)
    Montgomery, AL 36104
    Registration Information
   
May  
 
  • May 19, 2011
    IA Orientation
    Presented by the Ohio Division of Securities
    10:30 a.m.
    Carew Tower
    36th Floor conference room
    441 Vine Street
    Cincinnati, OH 45202
    Registration Information
April  
 
  • April 20, 2011
    IA Orientation
    Presented by the Ohio Division of Securities
    10:30 a.m.
    Frank J. Lausche State Office Building
    2nd Floor Auditorium
    1:30PM to 4:00 PM615 West Superior Avenue
    Cleveland, OH 44113
    Registration Information
 
  • April 7, 2011
    Investment Adviser Workshop
    Presented by the North Carolina Securities Division
    10 a.m. to 2 p.m.
    Small Business Center
    Forsyth Technical Community College
    Chamber Building
    601 West 4th Street, Suite 105
    Winston-Salem, NC 27101
    Registration Information
March  
 
  • March 31, 2011
    IA Switch Conference
    Presented by the Indiana Securities Division
    1:30 p.m. to 4:00 p.m.
    Indiana Government Center South Auditorium
    302 W. Washington St.
    Indianapolis, IN 46204
    Registration Information
 
  • March 29, 2011
    Investment Adviser Town Meeting
    Presented by the Kentucky Securities Division
    9:30 a.m. to 12:30 p.m.
    Green River Area Development District
    3860 Highway 60 West
    Owensboro, KY 42301
    Registration Information
 
  • March 22, 2011
    Investment Adviser Town Meeting
    Presented by the Kentucky Securities Division
    9:30 a.m. to 12:30 p.m.
    Kentucky Society of Certified Public Accountants
    1735 Alliant Avenue
    Louisville, KY 40299
    Registration Information
 
  • March 21, 2011
    IA Switch Seminar
    Presented by the Michigan Securities Division
    8:30 a.m. to 12 p.m.
    (recommended for current state-registered IAs)
    1 p.m. to 4:30 p.m.
    (recommended for IAs transitioning from SEC to state registration)
    MSU Management Education Center
    Eli Broad Graduate School of Management
    811 W. Square Lake Road, Room 106
    Troy, Michigan 48098
    Registration Information
 
  • March 21, 2011
    IA Switch Seminar
    Presented by the Michigan Securities Division
    8:30 a.m. to 12 p.m.
    (recommended for current state-registered IAs)
    1 p.m. to 4:30 p.m.
    (recommended for IAs transitioning from SEC to state registration)
    Lansing Community College West Campus
    5708 Cornerstone Drive
    Lansing, MI
    Registration Information
 
  • March 21, 2011
    IA Switch Seminar
    Presented by the Michigan Securities Division
    8:30 a.m. to 12 p.m.
    (recommended for current state-registered IAs)
    1 p.m. to 4:30 p.m.
    (recommended for IAs transitioning from SEC to state registration)
    Grand Valley State University
    301 Michigan St NE
    Grand Rapids, MI
    Registration Information
 
  • March 18, 2011
    IA Orientation
    Presented by the Ohio Division of Securities
    10:00 a.m.
    Verne Riffe Center for Government and the Arts
    31st Floor South B and C conference rooms
    77 S. High Street
    Columbus, OH 43215
    Registration Information
 
  • March 16, 2011
    Investment Adviser Town Meeting
    Presented by the Kentucky Securities Division
    9:30 a.m. to 12:30 p.m.
    Northern Kentucky Area Development District
    22 Spiral Drive
    Florence, KY 41042
    Registration Information
 
  • March 10, 2011
    IA Switch Workshop
    Presented by the Vermont Securities Division
    12 p.m. to 4 p.m.
    City Center, Third Floor
    89 Main Street
    Montpelier, VT
    For more infomation: 802-828-4857
 
  • March 8, 2011
    Investment Adviser Town Meeting
    Presented by the Kentucky Securities Division
    9:30 a.m. to 12:30 p.m.
    Department of Financial Institutions
    1025 Capital Center Drive, Suite 200
    Frankfort, KY 40601
    Registration Information
January  
 
  • January 31, 2011
    IA Workshop
    Presented by the Nevada Securities Division
    2:00 p.m. to 3:30 p.m.
    Ren Washoe County Health District – South Conference Room B
    1001 E. Ninth Street, Reno, NV 89520
    Registration Information
 
  • January 28, 2011
    IA Workshop
    Presented by the Nevada Securities Division
    2:00 p.m. to 3:30 p.m.
    Grant Sawyer Building, Hearing Room 1100, 1st Floor
    555 E. Washington Ave, Las Vegas, NV 89101
    Registration Information
2010  
December  
 
  • December 17, 2010
    IA Workshop
    Presented by the North Carolina Securities Division
    10 a.m. to 2:30 p.m.
    Wake Technical Community College – Wester Wake Campus
    3434 Kildaire Farm Road, Suite 200 in Room 118
    Cary, NC 27518
    Agenda & Registration
 
  • December 3, 2010
    IA Workshop
    Presented by the North Carolina Securities Division
    10 a.m. to 2:30 p.m.
    Wake Technical Community College – Wester Wake Campus
    3434 Kildaire Farm Road, Suite 200 in Room 118
    Cary, NC 27518
    Agenda & Registration
   
November  
 
  • November 2, 2010
    IA Workshop
    Presented by the North Carolina Securities Division
    10 a.m. to 2:30 p.m.
    Central Piedmont Community College — Harris Campus
    3216 CPCC Harris Campus Dr.
    Charlotte, NC 28208
    Agenda & Registration
 
  • November 1, 2010
    Investment Adviser Workshop
    Presented by the Utah Division of Securities
    3 p.m. to 4:30 p.m.
    Salt Lake City Main Library Auditorium
    210 East 400 South
    Salt Lake City, UT
    Agenda & RSVP Information
 
  • November 1, 2010
    IA Workshop
    Presented by the North Carolina Securities Division
    10 a.m. to 2:30 p.m.
    Central Piedmont Community College — Harris Campus
    3216 CPCC Harris Campus Dr.
    Charlotte, NC 28208
    Agenda & Registration
October  
 
  • October 20 2010
    IA Seminar
    Presented by the Kansas Securities Commission
    8:30 a.m. to 12:00 p.m.
    Matt Ross Community Center
    8101 Marty Street
    Overland Park, KS 66204
    AgendaRegistration
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