In This Section

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:

NEW: Investment Adviser Model Rules, Under the USA 2002, Approved September 17, 2008

NEW: Revised Investment Adviser Model Rule on Exams, Under the 1956 Act, Approved September 17, 2008

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 or by ending an e-mail. SEC registrants should contact the SEC at (202) 551-7250 or IARDLIVE@sec.gov for interpretive and regulatory assistance.