• CCG

NASAA Members Adopt Rule to Require Continuing Education by Investment Adviser Representatives




The North American Securities Administrators Association (NASAA) announced that its membership has voted to adopt a model rule to set parameters by which NASAA members could implement continuing education programs for investment adviser representatives in their jurisdictions.


“This model rule represents the culmination of years of work by state securities regulators and industry to develop a relevant and responsive continuing education program,” said Lisa A. Hopkins, NASAA President and West Virginia Senior Deputy Securities Commissioner.