FOR INVESTMENT ADVISERS
FAQs for IAs
NASAA is pleased to provide answers to frequently asked questions about investment advisers. Details
NASAA Cybersecurity Checklist and Guidance for Investment Advisers
Articles on Compliance Matters
A series of compliance-related articles prepared for state-registered investment advisers by NASAA’s Investment Adviser Resources and Publications Project Group.
FAQ: Account Access Amendment to the Investment Adviser Model Rule on Unethical Business Practices of Investment Advisers and Investment Adviser Representatives
On November 6, 2017, NASAA adopted an amendment to NASAA’s Unethical Business Practices of Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers Model Rule to prohibit investment advisers from accessing clients’ electronic accounts through the clients’ own unique identifying information. The following Q&As are intended to help investment advisers understand the Account Access Model Rule, its purpose, and its application. Details
Investment Adviser Public Disclosure (IAPD) reports disclose information about state registered investment adviser representatives (IARs) to help investors determine whether to conduct, or continue to conduct, business with these individuals. The information contained within these reports is collected through the states’ registration and licensing process.