Media Contacts: Bob Webster Director of Communications Noelle Lane Communications Specialist
NASAA's legislative agenda calls for Congress to prioritize investor protection.
NASAA members provide regulatory frameworks for responsible capital formation.
NASAA members shield investors from harmful practices, products and people.
NASAA members empower investors to make informed financial decisions.
NASAA Names New Communications Director
NASAA’s Electronic Filing Depository Expands to Franchise Filings
NASAA Releases Annual Report on State-Registered Investment Advisers
NASAA Statement on Confirmation of Gary Gensler as SEC Chairman
NASAA’s Legislative Agenda Calls for Congress to Prioritize Investor Protection
2021 NASAA Virtual Public Policy Symposium
2021 NASAA Fall Annual Meeting
Informed Investor Advisory: ESG Investing
Informed Investor Advisory: Social Media, Online Trading and Investing
NASAA letter to Sen. Jeff Merkley Re S. 1171, the Investor Choice Act of 2021
NASAA amicus curiae brief in support of the Saint Lucie County Fire District Firefighters’ Pension Trust arguing for robust disclosures and flexible interpretations of the Securities Act
NASAA Letter to House Financial Services Committee Leadership Regarding Legislation to be Considered at the April 20, 2021 Full Committee Markup
NASAA Letter Regarding S.J. Res. 16 – A Joint Resolution Providing for Congressional Disapproval of the Rule Submitted by the SEC Relating to Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8
Stay informed about regulatory developments related to COVID-19.
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.
Dishonest people are after your money. Learn how to avoid scams and fraud with the DISB Financial Resource Guide: http://bit.ly.3r9u4uB.
OSC’s Investor Advisory Panel Releases 2020 Annual Report: https://bit.ly/3xPI1kY
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
A new episode of NASAA's Real Life Regulators podcast is available now. Listen to "A Trusted Agent Takes Clients to the Cleaners" here: https://bit.ly/3gEQ0eJ
What’s new in investing? A lot, like cryptocurrency, fractional shares, robo investing, and more!
For more info on investing today, join the ASC, the Investor Protection Trust (IPT), Detroit Public Television, and PBS Books for a Facebook Live event on April 23 @ 1pm ET