ONLINE EXAM UPDATE

NASAA announced that beginning April 1, 2022, it will no longer offer the Series 63, Series 65 and Series 66 qualification exams through online testing. These exams will only be available online for candidates who provide medical proof that they cannot take exams in testing centers. Candidates currently scheduled to take any NASAA exam online on or prior to March 31, 2022, are unaffected by this announcement.

COVID-19 RESOURCES

Stay informed about regulatory developments related to COVID-19.

TRAINING

Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors

REQUESTS FOR COMMENT

Requests for public comments on NASAA proposed Model Rules and Statements of Policy.

ENFORCEMENT STATISTICS

Learn more about the enforcement activities of NASAA members.

ELECTRONIC FILING (EFD)

The NASAA Electronic Filing Depository allows filers and issuers to quickly submit filing notices, fees, and forms to states, U.S. territories and jurisdictions.

FRANCHISE RESOURCES

Learn more about NASAA's New Franchise State Cover Sheets Instructions (Effective January 1, 2020)

SERVE OUR SENIORS

Visit NASAA's Serve Our Seniors website.

PODCASTS

Go inside real life cases of investment fraud in NASAA's Real Life Regulators podcast.