Other Useful Links

Regulators 

FINRA Central Registration Depository (CRD) System - Links to information on examinations, fee schedules, forms and other topics

SEC Information for Investment Advisers - Links to federal statutes, rules, forms, compliance information, and May 2000 regulatory issues roundtable

Investment Adviser Registration Depository (IARD) - Information on the new national electronic filing database

SEC Information on the IARD System

North American Securities Adminstrators Association - Click on "Find a Regulator" if you plan to do business in other states and want to find out their requirements.  On the Main Menu click on "Exams" and "Investment Adviser" to find information on those topics.

Treatises and Other Reference Materials

Best Practices for Financial Advisors by Mary Rowland
Bloomberg Press 800-233-4830

Protecting Your Practice by Katherine Vessenes
Bloomberg Press 800-233-4830

Investment Adviser Regulation - A Step-by-Step Guide to Compliance and the Law by Clifford E. Kirsch
Practising Law Institute 800-260-4PLI

Regulation of Investment Advisers by Thomas P. Lenke and Gerald T. Lins
West Group 800-328-4880