ARTICLE
12 November 2019

NASAA Waives Firm Fees For IA Registration Depository System In 2020

CW
Cadwalader, Wickersham & Taft LLP

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NASAA Waives Firm Fees for IA Registration Depository System in 2020.
United States Corporate/Commercial Law

The North American Securities Administration Association ("NASAA" or "Association") will continue to waive Investment Adviser Registration Depository ("IARD") system fees for state-registered investment adviser firms in 2020.

NASAA also announced that effective January 1, 2020, the Association will impose a $5 increase in (i) initial IARD set-up and renewal system fees for state-registered investment adviser representatives, and (ii) Electronic Filing Depository system-use fees for Form D filings.

Primary Sources

  1. NASAA Announcement: NASAA 2020 Fee Announcement

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