NASAA members shield investors from harmful practices, products and people.
Check your professional's background.
NASAA members provide regulatory frameworks for responsible capital formation.
Learn More
New NASAA Study Examines Issues Related to Financial Professionals and Diminished Capacity
NASAA’s Electronic Filing Depository to Accept Mutual Fund Filings
Guidance Issued for Historical Franchise Performance Representations Reflecting COVID-19 Impacts
NASAA Comment Letter Opposing Proposed DOL Regulation of Investment Advice Fiduciaries
NASAA Letter to the SEC Regarding Proposed Rule Change to Adopt FINRA Rule 3241
NASAA Letter Regarding the Financial Services and General Government Appropriations Act (H.R. 7668)
Registration is open for this online event.
The NASAA Electronic Filing Depository allows filers and issuers to quickly submit filing notices, fees, and forms to states, U.S. territories and jurisdictions.
Aspects of the DOL's investment advice proposal for workers and retires "will create outcomes that are the opposite of the fiduciary protections that retirement investors deserve, and that Congress intended under ERISA," NASAA wrote in a comment letter. https://bit.ly/2DJ9iOE
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
