Disclaimer: The information collected below is for educational purposes only and intended to be neither exhaustive nor constitute legal advice. Advisers and their representatives are encouraged to consult their own legal counsel if they have questions pertaining to their legal obligations under both federal and state securities laws.

Examination Program

Books & Records document request 2016
FAQs and Common Violations
NC Investment Adviser Surety Bond Form
Policies and Procedures Sample TOC

Forms and Instructions

ADV Glossary
Form ADV-W and instructions
Form U4-U5 explanation of terms
Instructions Form ADV Part 1 - 2016
Instructions Form ADV Part 2 - 2016
SEC IA-3060 new ADV Part 2
SEC Plain English handbook
U-4 Instructions
U-5 Instructions

IA Regulation Workshop

Agenda with Contact Info 2016 (Raleigh sessions)
Agenda with Contact Info 2016
Evaluation Form 2016

Investor Eduction Brochures


NASAA Cybersecurity for Investors Jan 2015
NASAA IA Exam Survey 2011
NASAA IA Exam Survey 2013
NASAA IA Exam Survey 2015

NC Statutes and Rules

Other Secretary of State Services

SEC and Other Regulatory Guidance

SEC Rule 206(4)-1 Advertisements by IAs
DOJ Business Email Compromise
SEC 34-42728 Electronic media
SEC Guidance on Cybersecurity 4-2015
SEC Guidance on Privacy and Financial Abuse of Older Adults
SEC Guidance on Social Media 4-2014
SEC Staff No-Action Letter - Clover Capital