NASAA members shield investors from harmful practices, products and people.
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NASAA members provide regulatory frameworks for responsible capital formation.
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NASAA Statement on the SEC’s Proposed Rule Amendment Regarding the “Accredited Investor” Definition
Broker-Dealer E&O Insurance Could Provide Relief for Investors with Unpaid Arbitration Awards
It Pays to Pay Attention to Your Brokerage Account Statements
NASAA amicus brief in support of the Securities and Exchange Commission in Liu v. SEC
NASAA Comment Letter to Massachusetts Regarding State Fiduciary Duty Rule Proposal
NASAA Comment Letter to the SEC Regarding Rule 15c2-11 and the “Piggyback” Exception
Learn how to use NASAA's streamlined filing system for Form D and Form NF-UIT filings.
Learn more about the enforcement activities of NASAA members.
CNBC: "More Americans may soon be able to buy into risky investments such as private equity funds, hedge funds and stock in start-up companies — and investors should be wary." https://cnb.cx/2PSuhCe
In a new investor advisory, NASAA reminds investors to look beyond the rating when considering an investment in one or more bond or bond funds. Details: https://bit.ly/2EB8NDu
ICYM: NASAA, @FINRA & SIPC have issued a joint advisory to remind investors to pay attention to their brokerage account statements. Details: https://bit.ly/34BcdQT
Planning is key for being able to live a financially secure retirement. And it’s never too late to prepare for retirement, even in your last few years in the workforce. bit.ly/3aEr0ib
