- State Investment Adviser Registration Information
- NEWS: NASAA Announces IARD System Fee Waiver for Investment Adviser Firms (October 23, 2013)
- PUBLIC COMMENT SOUGHT: Proposed Changes to NASAA Registration Exemption for Investment Advisers to Private Funds Model Rule Under the Uniform Securities Acts of 1956 and 2002 (Deadline for comments: Sept. 5, 2013)
- NASAA Report: The IA Switch
- IA Switch Resource Center
- Investment Adviser Guide
- Coordinated Examinations
- IA Links
- Form ADV
- Revisions to Form ADV Part 1B (Implemented October 2012)
- Privacy Guidance for State-Registered IAs
- Transition Process and Renewal Information for IA Representatives and Firms
The NASAA Investment Adviser Section provides current information about changes and developments in state regulation of investment advisers. For information on the Series 63, 65, and 66 exams, please visit the Exams section of NASAA’s website.
Important Reminder and Clarification for State Jurisdictions and Investment Adviser Firms:
Deadline For Completion of the New Form U4 Regulatory Action Questions
State registrants, and SEC-registered firms with IA representative questions, can obtain general assistance from NASAA by calling (202) 737-0900 between 8:30 a.m. and 6 p.m. Eastern. SEC registrants should contact the SEC at (202) 551-7250 or IARDLIVE@sec.gov for interpretive and regulatory assistance.