We are pleased to serve as a resource for information about state and provincial securities regulation. While we can’t respond to every email we receive, we would like to help point you in the appropriate direction to resolve your inquiry. If you need more information about:
How to Contact Your State or Provincial Securities Regulator
Contact information for your state or provincial securities regulator is available at the following link.
Exams
Information about the Series 63, 65 and 66 exams – including FAQs, exam resources and a listing of study guide vendors – is available in the Exam section of the NASAA website at the following link
Uniform Forms
Information about the following forms – Uniform Application to Register Securities (U-1), Uniform Consent to Service of Process (U-2), Uniform Corporate Resolutions (U-2A), Uniform Investment Company Notice Filing (Form NF), Uniform Surety Bond (U-SB), Uniform Examination Request (U-10), Uniform Franchise Offering Circular (UFOC), Form D, Form U-4, Form U-5, Form U-7, Form BD, Form BDW and Form ADV Part 1 & 2 – is available at the following link.
Please note, if you are looking for the Uniform Franchise Offering Circular (UFOC)
or the Small Company Offering Registration (SCOR or U-7), both forms are located
in the Corporate Finance section of the website, located here.
Registration & Licensing Requirements
NASAA offers a variety of resources for the regulatory community and securities professionals, including broker-dealers and investment advisors. Information about registration, examination, and licensing requirements can be found at the following link.
The form below may be used to submit a question to NASAA about any of the information on this website. For assistance in finding specific information on the site, you may also use the "search" box or visit the "sitemap." Please fill out the form as completely as possible; asterisk fields are required. NASAA will respond to your question in a timely manner.
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