Investment adviser examination requirements
Compiled text through Jan 15, 2026
Register checked through Jul 29, 2026
No later Register activity identified in this check.
Dates and status
- Compiling agency
- Department of Law
- Text status
- Source receipt
- Compiled text through
- Jan 15, 2026
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
- Activity status
- No later Register activity identified in this check.
- Latest notice
- LAW-15-20-00017-A · Adopted rule · Feb 2, 2021
- Source snapshot
- Jun 6, 2026
Every principal of an investment adviser or solicitor, and every investment adviser representative, including persons representing solicitors, and every supervisor who is required to register in this jurisdiction and who does not qualify for a waiver pursuant to section 11.7 of this Part, must take and receive a passing grade within two years prior to the date of filing registration information pursuant to section 11.4(c) of this Part on:
In accordance with section 11.4(i) of this Part, every natural person who, prior to February 1, 2021, was serving continuously and permissibly in any capacity covered under this Part, and who, through continued service, is subject to the registration and examination requirements of this Part on or after February 1, 2021, and who does not qualify for a waiver pursuant to section 11.7 of this Part, must take and receive a passing grade by December 2, 2021 on the examinations required under subdivision (a) of this section.