NASAA offers a variety of resources for the regulatory community and securities industry professionals, including broker-dealers and investment advisers. Throughout this section, visitors will find information about registration, examination, and licensing requirements for broker-dealers and investment advisers, as well as information on continuing education opportunities. Visitors also will find a wide range of corporation finance resources, as well as information about the CRD and IARD systems. Finally, this section contains a collection of uniform forms, and a directory of state and provincial securities laws and rules, as well as a listing of the latest rule proposals.

Spotlight On:

>> Franchise Disclosure: Interim Proposal

>>  NASAA Broker-Dealer Section Report on Principal Considerations for Regulatory Actions

>> NASAA Rule Proposals