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Continuing Education North American Securities Administrators Association

Stark & Stark

California & Hawaii Adopt Investment Adviser Representative CE Requirements for 2024

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Investment adviser representative continuing education requirements are critically important. Please read this alert carefully, as investment adviser representative registration may be at risk if you do not follow the...more

Morrison & Foerster LLP

California Proposes Adopting IAR Continuing Education Model Rules

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The California Department of Financial Protection and Innovation (DFPI) has proposed to adopt rules that would require investment adviser representatives (IARs) to complete 12 credit hours of continuing education courses each...more

Baker Donelson

Maryland and Mississippi Among First Three States to Adopt New Requirements for Investment Adviser Representatives

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On February 8, 2022, the North American Securities Administrators Association (NASAA) announced that Maryland, Mississippi, and Vermont were among the first three states to adopt and implement continuing education...more

Tonkon Torp LLP

Investment Adviser Representatives May Be Subject to CE Requirements

Tonkon Torp LLP on

The North American Securities Administrators Association (NASAA) released its Investment Adviser Section Annual Report (Report) in April 2021, highlighting 2020 section activities. The Report focuses largely on two topics:...more

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