Industry Resources

NASAA offers a variety of resources for the regulatory community and securities industry professionals, including broker-dealers and investment advisers. Throughout this section, visitors will find information about registration, examination, and licensing requirements for broker-dealers and investment advisers, as well as information on continuing education opportunities. Visitors also will find a wide range of corporation finance resources, as well as information about the CRD and IARD systems. This section also contains a collection of uniform forms, and a directory of state and provincial securities laws and rules, as well as a listing of the latest rule proposals.

In this Section:

Broker-Dealers
Corporation Finance
Exams
Investment Advisers
CRD & IARD
Uniform Forms
Franchise
Directory of Securities Laws & Regulations
Directory of State and Provincial Securities Regulators

Spotlight

State-registered IA Report
IRA Rollover Report
Serve Our Seniors
                                                 IA Switch Resource Center
State Rule Proposals
NASAA Rule Proposals


Print Friendly, PDF & Email