Banking and Finance Bureau of Securities

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  Advisors Get Online Help to Identify ‘Switch’ Requirements: NASAA

  By Marlene Y. Satter, AdvisorOne  |  April 4, 2012

  NASAA said that the resource is located on the association's website and offers, as a convenience for advisors, information on individual state registration requirements.

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  Differences Between State and SEC Regulation of Investment Advisors

  By Les Abromovitz  |  January 1, 2012

  States may impose licensing or registration requirements on IARs doing business in their jurisdiction, even if the IAR works for an SEC-registered firm.  States may investigate and prosecute fraud by any IAR in their jurisdiction, even if the individual works for an SEC-registered firm.

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  NASAA Launches Coordinated Review Program to Help Advisors ‘Switch’

  By Melanie Waddell, AdvisorOne  |  November 29, 2011

  NASAA announced Tuesday that it had developed a coordinated review program for investment advisors switching from federal to state oversight as mandated by the Dodd-Frank Act.

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  Congress Urged to Preserve States' Authority in Any SRO for Advisors

  By Melanie Waddell, AdvisorOne  |  September 14, 2011

  Just as the Pennsylvania Securities Commissioner was warning members of a House subcommittee on Tuesday to not trump states’ authority in potentially requiring an SRO for advisors, the newly christened NASAA president was beating the same drum miles away.