North American Securities Administrators Association - NASAA %

Protect

NASAA members shield investors from harmful practices, products and people.
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Educate

NASAA members empower investors to make informed financial decisions.
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Facilitate

NASAA members provide regulatory frameworks for responsible capital formation.
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Advocate

NASAA's legislative agenda calls for Congress to prioritize investor protection.
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News & Announcements

November 4, 2021
NASAA Report Finds that Many Broker-Dealer Firms Still Place Their Financial Interests Ahead of Their Customers Despite Implementation of Regulation Best Interest
November 3, 2021
NASAA Extends Waiver of State-Registered Investment Adviser Firm System Fees
October 5, 2021
NASAA Seeks Public Comment on Proposed Model Rules to Combat Unpaid Arbitration Awards and Fines
September 29, 2021
NASAA Releases Annual Enforcement Report
September 28, 2021
FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection

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EVENTS

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INVESTOR ADVISORIES

September 16, 2021
Informed Investor Advisory: Protecting Your Online Accounts
June 1, 2021
Informed Investor Advisory: Expense Ratios

policy updates

NASAA SPOTLIGHT

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.

Featured Video

Check out the latest episode in our Get in the Know series on ESG Investing.