The website of the North American Securities Administrators Association ("NASAA"), a membership association of state securities regulators, contains a variety of information concerning investment advisor registration and compliance. You can access the NASAA website by clicking here.
You may find useful information on applicable state registration and compliance requirements in the following sections of the NASAA website:
You may find useful information on compliance topics of interest to investment advisors on the website of the Securities and Financial Markets Association ("SIFMA"), an industry trade group representing securities firms, banks, and asset management companies.
The state securities regulators publish information and guidance on their websites. You can find links to the regulators' main pages and direct links to the additional pages on the regulators' website listed below. These pages contain helpful discussions of state registration and compliance requirements.
Greenwich Compliance is offering this list of resources for educational and information purposes only. This information should not be construed as legal advice and has not been tailored to address the particular circumstances of you or any other advisor. Investment advisors should independently research the applicable registration and compliance requirements and consult appropriate counsel as needed.
Greenwich Compliance is not affiliated with any of the above external websites, and cannot attest to the accuracy of the information on these websites. Investment advisors should independently confirm that these websites provide the most current information.