Compliance Solutions for Investment Advisers

Regulatory References

USCC has compiled a comprehensive regulatory reference library to aid advisers in finding the information they need quickly. Included in this reference are rules, regulations, regulatory agencies, and forms & instructions.

Regulatory Agencies Professional Associations

State

Directory of State Securities Regulators

NASAA — North American Securities Administrators Association

Federal

SEC — Securities and Exchange Commission

FINRA — Financial Industry Regulatory Authority

FDIC — Federal Deposit Insurance Corporation

FinCEN — Financial Crimes Enforcement Network

OCC — Office of the Comptroller of the Currency

Federal Reserve Board

International

CSA — Canadian Securities Administrators

FSA — Financial Services Authority (UK)

Credentialing Organizations
PFP — AICPA¬†Personal Financial Planning Center

CFP — Certified Financial Planner Board of Standards

CFA — Chartered Financial Analyst Institute

IMCA — Investment Management Consultants Association

fi360 — Center for Fiduciary Studies

Network Groups

FPA — Financial Planning Association

NAPFA — National Association of Personal Financial Advisors

NAIFA — National Association of Insurance and Financial Advisors

IAA — Investment Adviser Association

Compliance Organizations

NSCP — National Society of Compliance Professionals

Rules & Regulations Forms & Instructions

Acts

Securities Act of 1933

Securities Exchange Act of 1934

Investment Advisers Act of 1940

Investment Company Act of 1940

National Securities Markets Improvement Act of 1996

Rules

Rules Under the Investment Advisers Act of 1940

Rules Under the Investment Company Act of 1940

Regulation S-P

Regulation S-AM

Forms

Form U10

Form ADV Part 1

Form ADV Part 2A

Form ADV Part 2B

Wrap Fee Program Brochure

Form Instructions

Form U4

Form U10

Form ADV Part 1

Form ADV Part 2

Form ADV-E

Form ADV-W

Form PF

Form 13F

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