North American Securities Administrators Association Archives

22 04, 2022

NASAA Reveals Top Investor Threats for 2022
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NASAA Reveals Top Investor Threats for 2022
NASAA, Registered Investment Advisers, Rules and Regulations

NASAA Reveals Top Investor Threats for 2022

By admin|2022-04-22T13:03:15-04:00April 22, 2022|NASAA, Registered Investment Advisers, Rules and Regulations|

On January 10, 2022 the North American Securities Administrators Association [...]

8 04, 2022

2022 & 2023 Continuing Education Requirements for IARs
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2022 & 2023 Continuing Education Requirements for IARs
Examinations, Investment Advisor Representative, NASAA, Rules and Regulations

2022 & 2023 Continuing Education Requirements for IARs

By admin|2022-04-08T13:11:04-04:00April 8, 2022|Examinations, Investment Advisor Representative, NASAA, Rules and Regulations|

In November of 2020, the North American Securities Administrators Association [...]

15 01, 2021

NASAA’s New Rule on IAR CE
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NASAA’s New Rule on IAR CE
Continuing Education, Examinations, FINRA, Investment Advisor Representative, NASAA, Rules and Regulations, Rules and Regulations

NASAA’s New Rule on IAR CE

By admin|2021-01-15T16:09:16-05:00January 15, 2021|Continuing Education, Examinations, FINRA, Investment Advisor Representative, NASAA, Rules and Regulations, Rules and Regulations|

The North American Securities Administrators Association ("NASAA") recently adopted a new rule that will require Investment Advisor Representatives ("IARs") to complete 12 credit hours of Continuing Education annually.