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NASAA members provide regulatory frameworks for responsible capital formation.
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Guidance Issued for Historical Franchise Performance Representations Reflecting COVID-19 Impacts
NASAA Outlines Strong State Response to COVID-19 Fraud in House Testimony
NASAA Letter to FINRA Regarding Regulatory Notice 20-05: Continuing Education Program Transformation
NASAA Letter to Senate in Support of The Investor Choice Act of 2019 (S.2992)
The NASAA Electronic Filing Depository allows filers and issuers to quickly submit filing notices, fees, and forms to states, U.S. territories and jurisdictions.
Resources to empower women investors to take control of their financial futures.
NASAA has released for public comment a proposed model act to assist states in creating a restitution assistance fund for victims of securities law violations. We look forward to hearing from you. https://bit.ly/3dRqFZG
NASAA today updated the status of the work of the COVID-19 Enforcement Task Force, consisting of state and provincial securities regulators, to identify and stop potential threats to investors stemming from the pandemic. Details: https://bit.ly/30PwV1w
