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Adopted Model Rules & Acts

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Topic
Year
April 18, 2024

Recordkeeping Requirements for Investment Advisers

April 17, 2023

NASAA Investment Adviser Representative Examination Validity Extension Program Model Rule

September 18, 2022

Examination Requirements for Broker Dealer Agents

September 18, 2022

Examination Requirements for Investment Adviser Representatives

May 16, 2022

Unpaid Arbitration Awards Under the Uniform Securities Acts of 1956 and 2002

May 16, 2022

Prohibited Conduct in Providing Investment Advice

May 16, 2022

Dishonest or Unethical Business Practices of Broker-Dealers and Agents

May 16, 2022

Unethical Business Practices of Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers

May 18, 2021

NASAA Restitution Assistance Fund Model Act

November 24, 2020

Investment Adviser Representative Continuing Education





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