Industry Resources
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
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