Navigating the Regulatory Maze for Investment Advisors - IAR Licensing : Registered Investment Advisor (RIA) Compliance Consultants

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Category Archives: IAR Licensing

Investment Advisor Representatives’ Duty to Update Form U4

The end of the year is an excellent time to remind investment advisor representatives (IARs) of the duty to update their Form U4. In addition, investment advisor firms should be, at least annually, reminding IARs of their ongoing duty to update the U4. According to the U4 instructions, “an individual is under a continuing obligation [...]

Posted by Bryan Hill

Tuesday, October 31, 2006

Labels: Form U4, IAR Licensing

Qualifications for IAR

As a follow-up to our previous entry, we thought we would discuss the general licensing qualifications that state regulators impose for investment advisor representatives. The following are the standard licensing requirements that states will accept as a qualification for investment advisor representative licensing: 1. Series 65, NASAA Uniform Investment Adviser Law Examination, or 2. Series [...]

Posted by Bryan Hill

Tuesday, November 8, 2005

Labels: IAR Licensing, Registration

IAR Licensing

As the 2006 IARD renewals season quickly approaches, it is a good time to examine which associated persons of an investment advisor firm need to be licensed as investment advisor representatives. SEC Rule 203A-3(a) of the Investment Advisers Act defines an investment advisor representative (“IAR”) as a supervised person who has more than five clients [...]

Posted by Bryan Hill

Tuesday, November 8, 2005

Labels: IAR Licensing

Licensing Maze – Investment Advisor Representative Registrations

Where do investment advisor representatives (IARs) need to be licensed? According to Section 203A(b)(1)(a) of the Investment Advisers Act of 1940, SEC registered investment advisor firms are only required to license their investment advisor representatives in states where the investment advisor representatives have a place of business. (For purposes of this section, the SEC has [...]

Posted by Bryan Hill

Monday, August 22, 2005

Labels: IAR Licensing



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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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