Industry Resources

Topic
Year
February 4, 2022

NASAA Seeks Securities Industry Input on Survey for Series 63, 65, and 66 Examination Content

NASAA is undertaking a job analysis study for the Series 63, 65, and 66 exams.
June 10, 2021

IAR CE Course Provider Announcement

January 15, 2021

Investment Adviser Representative Continuing Education Update: January 15, 2021

August 31, 2020

Investment Adviser Representative Continuing Education Survey

May 28, 2020

NASAA EFD Webinar

April 3, 2020

NASAA Outlines Investor Protection Concerns Amid COVID-19 Crisis in Remarks to SEC Advisory Committee

“The past few weeks have been challenging for investors, regulators, and the financial services industry. While state securities authorities are working to help financial professionals withstand current difficulties, we remain focused on our mission to protect investors,” Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities, said in remarks to the SEC’s Investor Advisory Committee.
February 13, 2018

NASAA 2018 Investment Adviser Representative Continuing Education (IAR-CE) Survey

The North American Securities Administrators Association (NASAA) is consulting with external stakeholders and conducting a nationwide survey to collect input and views on a potential continuing education requirement for investment adviser representatives. NASAA and its members are in the early phases of this initiative and are conducting this stakeholder survey to determine the next phase. […]
August 30, 2017

Exam Enrollment Window Extension

NASAA is extending the examination enrollment windows for the NASAA Series 63, 65, and 66 examinations for candidates in counties and regions declared disaster areas by state or federal governments as a result of Hurricane and Tropical Storm Harvey. Individuals who have an examination window due to expire between August 25, 2017 and September 22, […]
February 4, 2016

Exam Change Announcement

NASAA recently completed its periodic review and content update of the Series 63, 65, and 66 examinations. NASAA, with the assistance of Prometric, a leading test development company, undertook a more than year-long review of each examination’s content and scoring, incorporating the feedback received by more than 1,000 industry participants and regulators. As a result […]
October 8, 2015

Important Announcement Regarding Fees for the Series 63, 65, and 66 Exams

Effective January 1, 2016, the enrollment fees for the Series 63, 65, and 66 examinations will increase. Candidates enrolling for the Series 63, 65, or 66 on or after January 1, 2016, will be charged the following: Examination Enrollment Fee Series 63  $125 Series 65  $165 Series 66 $155  




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