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- North American Securities Administrators Association - NASAA
NASAA is an association of state securities administrators who are charged with the responsibility to protect consumers who purchase securities or investment advice
- Exams - NASAA
NASAA Exams Passing an exam is normally a prerequisite for being licensed by a state before a broker-dealer agent or investment adviser representative can work with investors NASAA’s exams are administered for NASAA by the Financial Industry Regulatory Authority (FINRA)
- About Us - NASAA
NASAA is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U S Virgin Islands, Canada, and Mexico
- Exam FAQs - NASAA
The question banks for all NASAA exams are periodically updated to include questions about recent changes in applicable laws and tax policies, as well as new Statements of Policy and Model Rules adopted
- About - NASAA
The North American Securities Administrators Association (NASAA) represents state and provincial securities regulators in the United States, Canada and Mexico NASAA members are the closest regulators to local communities, small businesses and the investing public throughout North America
- Contact Your Regulator - NASAA
Contact Your Regulator - NASAAClick on your state, province or territory to find helpful resources, including contact information for state and provincial securities regulators and other resources those agencies provide
- Investment Adviser Representative Continuing Education - NASAA
Welcome to the resource page for NASAA’s Investment Adviser Representative Continuing Education (IAR CE) program NASAA’s IAR CE model rule represents the culmination of years of work by state securities regulators and industry to develop a relevant and responsive continuing education program
- Series 66 Exam Content Outline - NASAA
The Uniform Combined State Law Examination was developed by NASAA based on industry requests The examination (also called the “Series 66”) is designed to qualify candidates as both securities agents and investment adviser representatives
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