Your response to this survey will assist NASAA in assembling course content for Investment Adviser Representative Continuing Education classes. Please respond to each question and share your views on the topics to be included in these classes. The survey is anonymous.

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* 1. Suitability Documentation:  Content will focus on how IARs properly assess client personal and financial needs by documenting their investment objectives, priorities, goals, knowledge, experience and risk tolerance prior to making investment recommendations.

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* 2. Record Keeping:  Content will include requirements for proper record keeping. Including but not limited to, financial statements, annual report filings, net worth requirements, bond requirements, etc.

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* 3. Contract Review: Content will focus on properly maintained and executed client contracts prior to providing advisory services. Including but not limited to, terms of the contracts, fees, compensation, and other required disclosures.

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* 4. Conflicts of Interest:  Content will focus on how IARs should disclose and report any conflicts of interest, such as dual registrations, outside business activities, and financial industry affiliations.

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* 5. Account Opening Documents: The content will focus on maintaining proper client account documentation. 

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* 6. Trade Authorization: Content will focus on IARs properly adhering to the authorized trading authority provided to them by their clients and complying with requirements.

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* 7. Invoicing:  Content will focus on client invoicing and the steps needed to ensure client fees are accurately calculated.

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* 8. Performance Reports:  Content will focus on compliant IAR performance reporting and advertising.  

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* 9. Advertising: Content will cover all forms of advertising by IARs and compliance in this area.

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* 10. Fraudulent Practices: Content will focus on prohibited and fraudulent practices.

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* 11. Custody: Content will focus on custody of client’s funds.  For example, pooled investment vehicles, deduction of fees, trustee of trust, etc.

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* 12. Fiduciary Responsibility:  Content will focus on the IAR's fiduciary duties to it's clients.

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