Updates for the Security Industry

Information for “Mid-sized” Investment Adviser Firms, which may be required to switch from SEC licensing to licensing by DISB:

• NASAA Offers New Resource to Help Investment Advisers Identify State Registration Requirements [PDF]
• DISB PowerPoint presentation for “Switching” Investment Advisers [PDF] (For Information Purposes Only)
• DISB Securities Licensing page for Investment Adviser Firms
• NASAA-IA Switch Resources
• Frequently Asked Questions Regarding Mid-Sized Advisers by the SEC’s Division of Investment Management

Advising Adults with Diminished Capacity Presentation [PDF]
NASAA’s 2011 Coordinated Investment Adviser Exams Report