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About NASAA
State and provincial securities regulators have been protecting investors from fraud and abusive sales practices since
the passage of the frst blue sky law in Kansas in 1911 and since 1912 in Canada when Manitoba became the frst
province to approve securities legislation. In the United States, state securities regulation preceded federal securities
laws, including the creation of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory
Authority (FINRA), formerly the NASD.
Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international
organization devoted to investor protection. NASAA is a voluntary association with a membership consisting of
securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada and
Mexico.
As the preeminent organization of securities regulators, NASAA is committed to protecting investors from fraud and
abuse, educating investors, supporting capital formation, and helping ensure the integrity and efciency of fnancial
markets.
NASAA represents and serves its members through advocacy, education, subject-matter expertise, communication
and coordination. NASAA values investor protection, education, respect for diverse views, building consensus, being
proactive, and active participation by all members of the organization. NASAA has a long history of advocating
for federal and state securities legislation, rulemaking and coordinated enforcement actions that advance the goal of
protecting investors.
About This Report
Te 2013-2014 NASAA Activity Report is intended to showcase the wide variety of services performed by state and
provincial securities regulators throughout North America in their eforts to protect investors, assist small and local
businesses seeking investment capital and increase investor awareness.
Contents
• Leadership Message
• Member Activity Reports
• NASAA Activity Report
• Board of Directors & Committees
• Awards
• Corporate Ofce Staf
NASAA Activity Report 13-14.indd 2 4/30/2014 2:30:46 PM
