Continuing Education Requirements Are on the Horizon for Many IARs

On November 30, 2020, the North American Securities Administrators Association (NASAA) adopted a model rule that established continuing education requirements for Investment Adviser Representatives (IARs). However, the Continuing Education (CE) model rule or similar...

NASAA 2019 Investment Adviser Coordinated Exam Report

Sample data from state securities examiners is collected every two years and is reported voluntarily to The North American Securities Administrators Association’s (NASAA) Investment Adviser Operations Project Group. At its recent annual meeting, NASAA has recently...