All: Industry Resources

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 […]

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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   Print | PDF | Email

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NASAA Seeks Industry Professional Input in Content Survey for NASAA Series 63/65/66 Examinations

NASAA is undertaking a job analysis study for the Series 63/65/66 exams. Part of the study includes a content survey designed to help determine the necessary knowledge for securities professionals who are required to pass one of these exams. Please see below for instructions for participation. The results of the job analysis will be used […]

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Amendments to Federal Regulation D by Washington State Under Consideration

The Washington State Securities Division is considering proposing to amend WAC 460-44A to make ministerial updates to account for amendments to federal Regulation D.  The relevant files are below. CR-101 – Interested Persons Correspondence (pdf) WSR 14-02-126 (pdf)   Print | PDF | Email

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FAQ: Disqualification of Bad Actors from Regulation D Offerings and the Lifting of the Ban on General Solicitation

On July 10, 2013, the Securities and Exchange Commission (SEC) adopted rules eliminating the prohibition on general solicitation and general advertising and disqualifying felons and other “bad actors” from Rule 506 offerings. The rules became effective on September 23, 2013. NASAA has prepared the following FAQ that addresses certain issues relating to the General Solicitation […]

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IA Switch Report

The IA Switch: A Successful Collaboration to Enhance Investor Protection   Download The regulatory transfer of more than 2,100 investment advisers from federal to state oversight, commonly known as the IA Switch, was one of the most significant achievements in the history of the North American Securities Administrators Association (NASAA). The Switch stemmed from Section 410 of the Dodd-Frank Wall Street Reform […]

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

Effective June 1, 2013, 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 June 1, 2013, will be charged the following: Examination     Enrollment Fee Series 63     $115 Series 65     $155 Series 66   […]

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IA Links

NASAA Investment Adviser Guide  Form ADV  For answers to interpretive questions about Forms ADV or U-4, state registrants should check first with appropriate state securities regulators. A list can be found here. IARD  Information on nationwide electronic registration for investment adviser firms and representatives. Fee Information A guide to information about the fees to register investment […]

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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, 2012IA […]

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Registration Schedule for Switching Firms

The Securities and Exchange Commission has developed the following registration schedule for investment advisers in order to facilitate the transition between federal and state registration: For Mid-Sized IAs Registered with the SEC as of Jan. 1, 2012: Mid-sized advisers registered with the SEC on July 21, 2011 must remain SEC registered until Jan. 1, 2012. File amendment […]

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