Other Regulatory Resources 


    The CPA’s Guide to Investment Advisory Business Models

    State Insurance Licensing Requirements

    AICPA Code of Professional Conduct

     State Investment Adviser Registration

    SEC Release 1A - 1092

     Investment Adviser Regulation

    Prudent Practices for Investment Advisors

    Becoming a FINRA Member

    Prudent Practices for Investment Stewards

    Broker-Dealer Regulation 

    Legal Memorandums for Prudent Investment Practices

    Qualifying Exams  

    AICPA PFP Section Webcast Library

    Investment Advisers Act of 1940 



    Note to Reader:
    The content covered in The CPA’s Guide to Regulatory Issues in a PFP Practice and The CPA’s Guide to Investment Adviser Registration is generally evergreen; however, changes pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (“the Act”) will be made when studies and implementation of the Act are finalized. To keep apprised of movement with the Act’s studies and related implementation, visit

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