North American Securities Administrators Association - NASAA %

Protect

NASAA members shield investors from harmful practices, products and people.
Check your professional's background.
Educate

NASAA members empower investors to make informed financial decisions.
Learn More
Facilitate

NASAA members provide regulatory frameworks for responsible capital formation.
Learn More
Advocate

NASAA's legislative agenda calls for Congress to prioritize investor protection.
Learn More

News & Announcements

January 25, 2022
Kristen Hutchens Named NASAA Director of Policy and Government Affairs
January 10, 2022
NASAA Reveals Top Investor Threats for 2022
December 7, 2021
NASAA Announces Speakers and Agenda for 2021 Fintech and Cybersecurity Symposium
December 7, 2021
NASAA Seeks Public Comment on Proposed Statement of Policy Regarding the Use of Franchise Questionnaires and Acknowledgments
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

ARCHIVE

EVENTS

February 03, 2022
NASAA’s Senior Issues and Diminished Capacity Committee Presents: Cognition, Problems and Solutions
May 14, 2022
NASAA 2022 Spring Meeting
September 18, 2022
NASAA 2022 Fall Annual Meeting

VIEW ALL

INVESTOR ADVISORIES

December 6, 2021
Informed Investor Advisory: Decentralized Finance (DeFi) Defined
September 16, 2021
Informed Investor Advisory: Protecting Your Online Accounts

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 our newest video, "What is a Trusted Contact, and why should you have one?"