Category Archives: New Jersey Investment Advisor

New Jersey Bureau of Securities Criminal Background Check for Investment Adviser Representatives

August 20, 2013

Per the provisions of 13:47A-3A.1 Registration of State registered investment adviser representatives, and N.J.S.A. 49:3-56(p), every individual applying for registration as an investment adviser representative must submit to being fingerprinted for a Criminal History Background Check.  The State of New Jersey has contracted with a vendor, MorphoTrak, to perform this service.

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New Jersey’s Bureau of Securities Written Examination of Investment Advisers

August 24, 2012

Many states have unique requirements for their investment advisers. The New Jersey Bureau of Securities, the securities regulator in the state, requires that state registered investment advisers fill out a written examination. These written examinations must be completed annually by the investment adviser firm. The New Jersey Bureau of Securities’ written examination form states that “written examinations do not take the place of on-site examinations, but may alleviate the need to conduct on-site examinations.”  Alternatively, information in the written examination questionnaire may raise red flags for theNew Jersey Bureau of Securities and lead to an on-site examination by regulators.

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