North American Securities Administrators Association - NASAA %

Advocate

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

NASAA members provide regulatory frameworks for responsible capital formation.
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Protect

NASAA members shield investors from harmful practices, products and people.
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Educate

NASAA members empower investors to make informed financial decisions.
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News & Announcements

April 15, 2021
NASAA Statement on Confirmation of Gary Gensler as SEC Chairman
March 8, 2021
NASAA’s Legislative Agenda Calls for Congress to Prioritize Investor Protection
March 3, 2021
NASAA Announces Top Investor Threats for 2021
February 4, 2021
NASAA Announces State Enforcement Actions Against GPB Capital Holdings for Allegedly Defrauding Investors in $1.8 Billion Private Offering Scheme
January 29, 2021
NASAA Reminds Regulated Firms of Customer Obligations and Investors About Risks of Stock Price Volatility

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EVENTS

May 19, 2021
2021 NASAA Virtual Public Policy Symposium
September 19, 2021
2021 NASAA Fall Annual Meeting

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INVESTOR ADVISORIES

April 8, 2021
Informed Investor Advisory: ESG Investing
April 1, 2021
Informed Investor Advisory: Social Media, Online Trading and Investing

policy updates

NASAA SPOTLIGHT

COVID-19 RESOURCES

Stay informed about regulatory developments related to COVID-19.

Enforcement Statistics

Learn more about the enforcement activities of NASAA members.
REQUESTS FOR COMMENT

Requests for public comments on NASAA proposed Model Rules and Statements of Policy.

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 new video series The Informed Investor.