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 Reminds Firms to Contact Regulators with Issues Related to Malicious Versions of SolarWinds Software
NASAA COVID-19 Enforcement Task Force Takes 250 Actions to Protect Investors From Pandemic Fraudsters
NASAA’s Electronic Filing Depository System Nears Half-Million Filings
Wisconsin Securities Regulator Appointed to SEC Investor Advisory Committee
NASAA Members Adopt Model Rule to Require Continuing Education by Investment Adviser Representatives
The Coronavirus is Novel but Crisis-related Scams are Nothing New
COVID-19 Related Early Withdrawals from Retirement Accounts
NASAA Comment Letter to SEC Regarding Proposed Amendments to Mutual Fund Disclosure Standards
NASAA Comment Letter Regarding Rroposed Rule Change to Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)
NASAA Comment Letter on Notice 20-34: Senior Investors – Proposed Amendments to FINRA Rule 2165 and Retrospective Rule Report
Investment Adviser Representative Continuing Education
Learn more about the enforcement activities of NASAA members.
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
The NASAA Electronic Filing Depository allows filers and issuers to quickly submit filing notices, fees, and forms to states, U.S. territories and jurisdictions.
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.
The latest news from the North American Securities Administrators Association, the voice of state and provincial securities regulators.
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. Watch our short video for examples of some ways fraudsters are targeting investors. https://youtu.be/oZbpkO9ZB1o
A senior’s guide to avoiding scams: http://mbsecurities.ca/get-informed/pubs/seniors.pdf
Join us for our virtual series of outreach events on topics such as avoiding scams and identity theft, cybersecurity, and staying safe online.
Be on guard against an anticipated surge of fraudulent investment schemes. Watch our short video for examples of some ways fraudsters are targeting investors. https://youtu.be/oZbpkO9ZB1o
More tips to avoid fraud:
✅Don’t provide sensitive information to cold callers;
✅Beware of unfamiliar websites, emails;
✅Beware of overly complex investments;
✅Don’t fall for high-pressure sales tactics.