NASAA SPOTLIGHT

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    ONLINE EXAM UPDATE

    NASAA announced that beginning April 1, 2022, it will no longer offer the Series 63, Series 65 and Series 66 qualification exams through online testing. These exams will only be available online for candidates who provide medical proof that they cannot take exams in testing centers. Candidates currently scheduled to take any NASAA exam online on or prior to March 31, 2022, are unaffected by this announcement.

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    TRAINING

    Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors

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    REQUESTS FOR COMMENT

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

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    ENFORCEMENT STATISTICS

    Learn more about the enforcement activities of NASAA members.

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    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.

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    FRANCHISE RESOURCES

    Learn more about NASAA's New Franchise State Cover Sheets Instructions (Effective January 1, 2020)

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    SERVE OUR SENIORS

    Visit NASAA's Serve Our Seniors website.

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    PODCASTS

    Go inside real life cases of investment fraud in NASAA's Real Life Regulators podcast.

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    2021 ACTIVITY REPORT

    NASAA Members: Leading the Way on Investor Protection

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    2022 NASAA Fall Annual Meeting

    September 18-20, 2022, Nashville