NASAA Resources Center

NASAA Resources Center

Your comprehensive guide to NASAA model rules, state adoption tracking, exam preparation, and enforcement trends for state-registered investment advisors.

67
NASAA Members
9
Key Model Rules
50+
US Jurisdictions

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Everything state-registered RIAs need to understand and comply with NASAA model rules and state securities regulations.

9 Rules

Model Rules

Comprehensive guides to NASAA model rules covering marketing, custody, books & records, ethics, registration, continuing education, policies & procedures, information security, and brochure requirements.

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50+ States

State Adoption Tracker

Interactive map and sortable table showing which states have adopted each NASAA model rule.

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3 Guides

Exam Preparation

Everything you need to prepare for a state securities exam — what to expect, common deficiencies, and interactive checklists.

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Statistics & Cases

Enforcement

Enforcement statistics, trends, and anonymized case studies to help you understand regulatory priorities.

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Latest News

Regulatory Updates

Stay current with the latest NASAA regulatory changes, model rule updates, and state action summaries.

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2 Tools

Compliance Tools

Free interactive tools including a compliance cost calculator and state rule comparison tool.

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Need help navigating state compliance?

Compliance Approved tracks NASAA model rules across all 50 states automatically.

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