Securities

Forms

Investment Adviser Resources

Note that contact information listed on these documents has changed. The new number is 919-814-5400.

Examination Program

NASAA

NASAA-Model-Rule-on-Business-Continuity-and-Succession-Planning-with-gu...

SEC Risk Alert on Advertising 9-2017 (PDF)

SEC Risk Alert on Advertising 9-2017
SEC Rule 206(4)-1 Advertisements by IAs (PDF)

SEC Rule 206(4)-1 Advertisements by IAs

SEC Rule 206(4)-1 Advertisements by IAs (Word)

Instructions (PDF)
SEC 34-42728 Electronic media (PDF)

SEC 34-42728 Electronic media

Instructions (PDF)
SEC Guidance on Social Media 4-2014 (PDF)

SEC Guidance on Social Media 4-2014

Instructions (PDF)
SEC Staff No-Action Letter - Clover Capital (PDF)

SEC Staff No-Action Letter - Clover Capital

Instructions (PDF)

Forms and Instructions

Registered investments advisers and their investment adviser representatives make all filings on the Investment Adviser Registration Depository. Advisers make most filings electronically on forms developed by the Securities and Exchange Commission. Obtain instructions from one of the following websites: www.nasaa.org under Industry Resources/IA Guide; www.iard.com under Filing Online or on the website www.sec.gov using their search tool.