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.
The NASAA Ombudsman is available to discuss matters in a confidential manner and to help assist with the resolution of these matters by identifying options for resolving the issue and/or by directing the issue to the appropriate party or office. Additionally, the NASAA Ombudsman can help provide guidance on recent developments, trends, issues and policies affecting state securities regulation.
Contact the NASAA Ombudsman
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>> Franchise Disclosure: Interim Proposal
>> NASAA Broker-Dealer Section Report on Principal Considerations for Regulatory Actions
>> NASAA Rule Proposals
>> NASAA Regulatory Report Podcasts
