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NASAA Membership Exams Provide Insight for Investment Advisers
Common Compliance Gaps for Investment Advisers The North American Securities Administrators Association (NASAA) has released its 2025 Coordinated Investment Adviser Exams Report, offering valuable insight into common compliance gaps and areas of regulatory concern for state-covered investment advisers. Based on 1,086 examinations conducted between February 1 and July 31, 2025, the report identified 3,402 violations […]
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