Issue Spotlight

Electronic Filing Depository

Electronic Filing Depository

NASAA Electronic Filing Depository (EFD) provides issuers the capability to submit securities and related filing notices, fees and forms.

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Capital Formation Resources

Capital Formation Resources

Learn More About EFD, Intrastate Crowdfunding & Multi-State Coordinated Review

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NASAA Model Act to Protect Vulnerable Adults

NASAA Model Act to Protect Vulnerable Adults

Visit ServeOurSeniors.org for NASAA's Model Act to Protect Vulnerable Adults from Financial Exploitation

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Public Comments on NASAA Proposals

Public Comments on NASAA Proposals

Visit NASAA's Public Comments page for current requests for comments and to view comments on current NASAA proposals.

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Top Investor Threats

Top Investor Threats

Learn about the top financial products and practices that threaten to trap unwary investors.

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Electronic Filing Depository

1

Capital Formation Resources

2

NASAA Model Act to Protect Vulnerable Adults

3

Public Comments on NASAA Proposals

4

Top Investor Threats

5

 

 The voice of state and provincial securities regulators.  Putting investors first.


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NASAA Fraud Center

How to Check Out Your Broker or Investment Adviser

 


About Us Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada, and Mexico. Investor Education State and provincial securities regulators have a long tradition of protecting investors through financial education. Whether you’re new to investing or already investing, NASAA and its members provide a variety of online investor education resources for investors of all ages.
Regulatory & Legal Activity NASAA works with regulatory counterparts to collectively protect investors. NASAA members also provide insight from their unique perspective to the SEC and SROs as they move forward in their rulemaking process. In this section: NASAA Statements of Policy, comment letters, model rules, NASAA proposals, state proposals, legal briefs, enforcement statistics and more. Industry Resources NASAA offers resources for the regulatory community and securities industry professionals, as well as capital formation resources for small businesses and entrepreneurs. In this section: registration, exam, and licensing requirements for broker-dealers and investment advisers, as well as corporation finance and franchising resources, a directory of state and provincial securities laws and regulations and contact information for the NASAA Ombudsman.
Issues & Advocacy NASAA actively advocates the pro-investor policy positions of state and provincial securities regulators. NASAA’s legislative activity is geared toward ensuring federal, state and provincial securities regulators maintain authority essential to keep capital markets healthy and safe for all investors. In this section: Congressional testimony, legislative letters, NASAA’s Legislative Agenda and more. NASAA Newsroom The NASAA Newsroom offers a variety of resources to the media, including news releases, speeches, backgrounders and other resources to help reporters understand how state securities regulators protect investors from investment fraud.