Media Contacts: Bob Webster Director of Communications Noelle Lane Communications Specialist
Stay informed about regulatory developments related to COVID-19.
NASAA members shield investors from harmful practices, products and people.
NASAA members provide regulatory frameworks for responsible capital formation.
NASAA members empower investors to make informed financial decisions.
NASAA Outlines Investor Protection Concerns Amid COVID-19 Crisis in Remarks to SEC Advisory Committee
COVID-19-Related Investment Schemes Anticipated
NASAA Outlines Steps State Securities Regulators are Taking to Provide Temporary Regulatory Relief Amid COVID-19 Pandemic
NASAA Urges SEC Not to Move Forward with Proposal to Expand Access to High-Risk Private Offerings Without Added Protections
State and Provincial Securities Regulators Offer Resources Addressing Unique Investing Issues Facing Women
2020 NASAA Public Policy Conference Cancelled
2020 NASAA Fall Annual Meeting
Informed Investor Advisory: Bond Ratings
It Pays to Pay Attention to Your Brokerage Account Statements
NASAA amicus brief in support of New Jersey Bureau of Securities’ enforcement action against Credit Suisse and related entities.
NASAA Comment Letter on SEC Proposal Regarding the Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence
NASAA Comment Letter Regarding Proposed Amendments to FINRA Expungement Process
NASAA Comment Letter Regarding SEC Accredited Investor Rule Proposal
Learn how to use NASAA's streamlined filing system for Form D and Form NF-UIT filings.
Resources to empower women investors to take control of their financial futures.
Learn more about the enforcement activities of NASAA members.
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
Learn more about NASAA's New Franchise State Cover Sheets Instructions (Effective January 1, 2020)
Visit NASAA's Serve Our Seniors website.
Go inside real life cases of investment fraud in NASAA's Real Life Regulators podcast.
NASAA's Annual Report recaps an active 2019.
The latest news from the North American Securities Administrators Association, the voice of state and provincial securities regulators.
INVESTOR BEWARE: Watch out for unsolicited investment pitches specifically tied to the threat of #COVID19.
Beware unsolicited offers regarding an investment “opportunity” or "cure" related to coronavirus. For more information on COVID-19 related scams visit https://buff.ly/2QxjvRH
PROTECT YOUSELF: Remain vigilant and be on the lookout for new schemes tied to COVID-19 and recent economic developments. Stay clear of anything sounding too good to be true, such as guarantees of high returns with no risk.
🚨 Don't miss #updates from the @FlFinancialReg #newsroom: https://www.flofr.com/sitePages/OFRNews.htm #ICYMI #coronavirus #COVID19 #financialservices
⚠️Avoid Coronavirus Scams
🖱️ Don’t click on links from sources you don’t know.
👀Watch for emails claiming to be from the CDC or WHO.
💉Ignore online offers for vaccinations.
💲Choose donations carefully.