North American Securities Administrators Association - NASAA %

Protect

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

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

June 15, 2021
NASAA, SEC and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention, and Reporting of Financial Exploitation of Seniors
June 15, 2021
NASAA Recognizes World Elder Abuse Awareness Day
May 18, 2021
NASAA Members Approve Model Act to Create Restitution Assistance Funds for Victims of Securities Violations
May 11, 2021
New Handbook Available for Potential IAR CE Course Content Providers
May 5, 2021
NASAA Names New Communications Director

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EVENTS

September 19, 2021
2021 NASAA Fall Annual Meeting

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INVESTOR ADVISORIES

June 1, 2021
Informed Investor Advisory: Expense Ratios
April 8, 2021
Informed Investor Advisory: ESG 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 the latest episode in our Get in the Know series on ESG Investing.