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Nasaa model rule - PowerPoint PPT Presentation

2011 COORDINATED INVESTMENT ADVISER EXAMS

2011 COORDINATED INVESTMENT ADVISER EXAMS. North American Securities Administrators Association. Who Was Examined?. 825 State-level advisers, of which. 155 advisers (18.8%) were affiliated with a BD 75 advisers (9.1%) used or acted as solicitors. 71 advisers (8.6%) managed pooled investments.

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Nasaa model rule - PowerPoint PPT Presentation

2011 COORDINATED INVESTMENT ADVISER EXAMS