Who We Are
The North American Securities Administrators Association, founded in Kansas in 1919, is the oldest international investor protection organization. NASAA is an association of state securities administrators who are charged with the responsibility to protect consumers who purchase securities or investment advice.
NASAA Spotlight
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.
Training
Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors
Franchise Resources
Learn more about NASAA’s New Franchise State Cover Sheets Instructions (Effective January 1, 2020)
Podcasts
Go inside real life cases of investment fraud in NASAA’s Real Life Regulators podcast.
Requests for Comments
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
Enforcement Statistics
Learn more about the enforcement activities of NASAA members.
Serve Our Seniors
NASAA and its members work to protect investors and are especially focused on efforts to prevent the financial exploitation of older investors.
IAR Continuing Education
NASAA’s IAR CE model rule represents the culmination of years of work by state securities regulators and industry to develop a relevant and responsive continuing education program
News & Announcements
This Valentine’s Day, Don’t Let Romance Scams Steal Your Heart or Your Money
As Valentine’s Day approaches, state and provincial securities regulators are warning consumers to be on guard against romance scams and so-called “relationship investment scams,” a fast-growing form of fraud that blends emotional manipulation with fake investment opportunities often perpetrated through social media.
Investor Advisories
Events
Policy Updates
NASAA Expresses Concerns Regarding the Digital Commodity Intermediaries Act
NASAA Opposes the SEED Act and the Restoring the Secondary Trading Market Act
.@CFTC Targets Relationship Investment Scams with National and International Initiatives this Valentine’s Week:
