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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