Pennsylvania State-Registered RIA Compliance
Compliance resources and tools tailored for state-registered investment advisors in Pennsylvania.
Regulatory Authority
Pennsylvania Department of Banking and Securities
Exam frequency: Approximately every 4–5 years
Fee data: IARD IA Firm Fee Schedule (11/1/2025), IAR Fee Schedule (3/6/2026)
Key Pennsylvania Compliance Requirements
State-specific regulations that Pennsylvania RIAs must follow.
NASAA Model Rules
NASAA has adopted model rules covering custody, books & records, ethics, marketing, and more. Individual state adoption varies.
NASAA model rule adoption varies by state and is governed by each state's securities regulations. For Pennsylvania-specific adoption status, consult the Pennsylvania Department of Banking and Securities. For verified adoption data across all states, see our State Adoption Tracker.
Pennsylvania Exam Preparation
Be ready when your state examiner schedules an inspection.
Document Preparation
Ensure all required books, records, and compliance documentation are organized and accessible.
Compliance Program Review
Verify your written compliance policies address all state-specific requirements.
Staff Training Records
Maintain documentation of ongoing compliance training for all advisory personnel.
Regulatory Filings
Confirm all state registration filings, amendments, and renewals are current.
Ready to simplify Pennsylvania compliance?
Compliance Approved helps Pennsylvania state-registered RIAs stay compliant with automated tracking and documentation.