State securities regulators have oversight responsibility for investment adviser firms with assets under management of $100 million or less. States also have sole regulatory oversight of all investment adviser representatives, the financial professionals who work directly with retail investors, whether the adviser is registered with a state or with the SEC.
In This Section
CONTINUING EDUCATION SURVEY
Following input from members and industry representatives, NASAA’s Investment Adviser Representative Continuing Education (IAR CE) Committee is progressing in its work to create a continuing education program for investment adviser representatives. As part of its work, the IAR CE Committee is conducting a nationwide survey to collect input and views on a potential course content for Investment Adviser Representative Continuing Education classes.The survey is anonymous and will remain open until September 21, 2020.
Forms, instructions and a glossary are available here.
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.