Media Contacts: Bob Webster Director of Communications Noelle Lane Communications Specialist
NASAA members shield investors from harmful practices, products and people.
NASAA members serve as the cops on the beat enforcing securities laws.
NASAA members provide regulatory frameworks for responsible capital formation.
NASAA members empower investors to make informed financial decisions.
NASAA Names New General Counsel
NASAA Introduces New Podcast Series “Real Life Regulators”
NASAA Announces Top Investor Threats for 2020
NASAA Statement on the SEC’s Proposed Rule Amendment Regarding the “Accredited Investor” Definition
Broker-Dealer E&O Insurance Could Provide Relief for Investors with Unpaid Arbitration Awards
2020 NASAA Spring Meeting
2020 NASAA Fall Annual Meeting
Informed Investor Advisory: Bond Ratings
It Pays to Pay Attention to Your Brokerage Account Statements
NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-36, Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer
NASAA amicus brief in support of the Securities and Exchange Commission in Liu v. SEC
NASAA Comment Letter to Massachusetts Regarding State Fiduciary Duty Rule Proposal
NASAA Comment Letter to the SEC Regarding Rule 15c2-11 and the “Piggyback” Exception
Learn how to use NASAA's streamlined filing system for Form D and Form NF-UIT filings.
Learn more about the enforcement activities of NASAA members.
Passing an exam is normally a prerequisite for being licensed by a state before a broker-dealer or investment adviser can work with investors.
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
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.
Reviews are coming in for NASAA's Real Life Regulators podcast: "An enlightening listen," says Financial Advisor. https://bit.ly/3afq4Am
NASAA's new podcast features real stories of investment fraud told by investigators from state and provincial securities regulators. Episode 1: The Advisor and the Widow https://bit.ly/303bdo0
CNBC: "More Americans may soon be able to buy into risky investments such as private equity funds, hedge funds and stock in start-up companies — and investors should be wary." https://cnb.cx/2PSuhCe
In a new investor advisory, NASAA reminds investors to look beyond the rating when considering an investment in one or more bond or bond funds. Details: https://bit.ly/2EB8NDu
ICYM: NASAA, @FINRA & SIPC have issued a joint advisory to remind investors to pay attention to their brokerage account statements. Details: https://bit.ly/34BcdQT
1 day ago
Planning is key for being able to live a financially secure retirement. And it’s never too late to prepare for retirement, even in your last few years in the workforce. bit.ly/3aEr0ib ...
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