Industry Resources
January 5, 2015
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 […]
January 10, 2014
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)
November 7, 2013
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 […]
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 […]
April 17, 2013
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 […]
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
IA Switch Resource Center
By signing the Dodd-Frank Wall Street Reform and Consumer Protection Act into law, President Obama set in motion a change for many mid-sized investment adviser firms.
October 6, 2005
