NASAA SPOTLIGHT

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    ELECTRONIC FILING (EFD)

    Learn how to use NASAA's streamlined filing system for Form D and Form NF-UIT filings.

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    ENFORCEMENT REPORT

    Learn more about the enforcement activities of NASAA members.

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    EXAMS

    Passing an exam is normally a prerequisite for being licensed by a state before a broker-dealer or investment adviser can work with 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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    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.