by Ara Jabrayan | May 27, 2022 | Continuing Education, Investment Adviser Representative, North American Securities Administrators Association (NASAA), Remove term: Products and Practices Products and Practices
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... by Ara Jabrayan | Oct 2, 2020 | Cyberattack, North American Securities Administrators Association (NASAA)
The North American Securities Administrators Association (NASAA) recently released its Investment Adviser Section Annual Report, which is filled with extremely important information for state-registered advisory firms. The report is available at... by Ara Jabrayan | Sep 19, 2019 | Examination Priorities, Investment Adviser Representative, North American Securities Administrators Association (NASAA), Registered Investment Advisers (RIAs), RIA Compliance, SEC Cybersecurity, SEC Investment Adviser Compliance, State Investment Adviser Compliance
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...
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