Investment Adviser
June 10, 2021
IAR CE Course Provider Announcement
August 31, 2020
Investment Adviser Representative Continuing Education Survey
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. […]
May 13, 2013
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 […]
September 28, 2011
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 […]
September 28, 2011
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 […]
September 28, 2011
Switch Eligibility
Who Switches? The switch will affect investment advisers with assets under management between $25 million and $100 million with a principal office and place of business in a state where investment advisers are required to be registered and, if registered, are subject to examination. Who Does Not Switch? Investment advisers will remain under SEC oversight […]
August 9, 2011