NASAA members shield investors from harmful practices, products and people.
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NASAA members provide regulatory frameworks for responsible capital formation.
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NASAA's legislative agenda calls for Congress to prioritize investor protection.
Learn MoreNASAA Statement on Departure of Gary Gensler as SEC Chairman and Jaime Lizárraga as SEC Commissioner
NASAA Announces Upcoming Changes to the Electronic Filing Depository
NASAA Opens Public Comment Period for Proposed Revisions to Its Broker-Dealer Conduct Model Rule
NASAA Announces 2025 Fee Schedule for Investment Adviser Registration Depository System
NASAA Investor Bulletin: Social Isolation and the Risk of Investment Fraud
NASAA Letter to Congress Urging the Use of a Technology-Neutral Approach to Market Regulation
Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
IARs must complete IAR CE courses and IAR CE Providers must report those course completions to FINRA before the CRD system shutdown on December 26 to ensure IAR CE credits are applied before the end of the year. Details: https://www.nasaa.org/wp-content/uploads/2024/11/IAR-CE-End-of-Year-Memo-Nov-2024.pdf
📢 Investor Alert: Investment professionals in the U.S. & Canada must provide key documents to clients. Learn who sells securities, what to expect in disclosures, and how to protect yourself. Read more: https://bit.ly/3U1W3Nk
On this Friday the 13th, let’s talk about the real-life risks of investment scams. Our flier highlights the warning signs of scams like pig butchering and how you can help friends and family protect their assets.
Read more here: https://www.nasaa.org/wp-content/uploads/2024/07/Helping-Investors-Protect-Their-Assets-1.pdf
NASAA is seeking public comments on proposed revisions to NASAA’s broker-dealer conduct rule entitled Dishonest or Unethical Business Practices of Broker-Dealers and Agents (“Conduct Rule”). The deadline is December 19. Details: https://www.nasaa.org/wp-content/uploads/2024/11/FINAL_Request-for-Public-Comment_Amendments-to-DU-Nov.-2024.pdf
Stay informed with our latest investor bulletin on social isolation and the risk of investment fraud. 📖 Read the bulletin: https://bit.ly/4iqysjX 1/3
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ™750 First Street NE, Suite 990
