Regulation of Investment Advisers: NASAA Series 63 topic guide
Regulation of Investment Advisers carries 5% of the NASAA Series 63 blueprint used in this course, the 7th-largest of its 8 weighted areas. It spans 2 concepts. The course teaches it in 1 study unit: Regulation of Investment Advisers.
What Regulation of Investment Advisers covers
- What is the ABC test for an INVESTMENT ADVISER, and who is excluded? — USA §401 / IAA §202
- Where is the STATE vs FEDERAL dividing line for investment adviser registration? — IAA §203A
How Regulation of Investment Advisers connects to other areas
- Where is the STATE vs FEDERAL dividing line for investment adviser registration? links to Who is an INVESTMENT ADVISER REPRESENTATIVE — individual or entity? — Regulation of Investment Adviser Representatives
- What is the ABC test for an INVESTMENT ADVISER, and who is excluded? links to Who is an INVESTMENT ADVISER REPRESENTATIVE — individual or entity? — Regulation of Investment Adviser Representatives
- What is the ABC test for an INVESTMENT ADVISER, and who is excluded? links to What is a BROKER-DEALER under the USA, and who is excluded from the definition? — Regulation of Broker-Dealers
- Where is the STATE vs FEDERAL dividing line for investment adviser registration? links to Does a FEDERAL COVERED adviser's IAR register federally too, or at the state level? — Regulation of Investment Adviser Representatives
Official references for Regulation of Investment Advisers
- USA §401 / IAA: §202
- IAA: §203A
In the app this area comes with 2 memory cards and 3 module-quiz questions in the full course.