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COORDINATED EXAMINATIONS:
INVESTMENT ADVISERS

Based on coordinated examinations of state-registered investment advisers throughout the United States, NASAA identifies top compliance deficiencies and offers a series of recommended best practices for investment advisers to consider in order to improve their compliance practices and procedures. These best practices are designed to support investment advisers in meeting their compliance challenges and providing better services to their clients.

Findings and Recommended Best Practices
2019 Coordinated IA Examination Findings and Recommended Best Practices
2017 Coordinated IA Examination Findings and Recommended Best Practices
2015 Coordinated IA Examination Findings and Recommended Best Practices
2013 Coordinated IA Examination Findings and Recommended Best Practices
2011 Coordinated IA Examination Findings and Recommended Best Practices