NASAA members shield investors from harmful practices, products and people.
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NASAA members provide regulatory frameworks for responsible capital formation.
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Broker-Dealer E&O Insurance Could Provide Relief for Investors with Unpaid Arbitration Awards
NASAA Announces Agenda for Fintech and Cybersecurity Symposium
NASAA Comment Letter Regarding SEC Concept Release on Exempt Securities Offerings
NASAA Comment Letter to FINRA Regarding Regulatory Notice 19-27, Seniors Retrospective Rule Review
Learn how to use NASAA's streamlined filing system for Form D and Form NF-UIT filings.
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
In a report released today, NASAA encourages broker-dealers to use errors and omissions (E&O) insurance as a resource to help meet their potential obligations to pay arbitration awards to their customers. Details: https://bit.ly/35ekPyf
Scam artists use the trust they build to convince members to invest in investment schemes or phony business projects to line their own pockets, leaving investors broke. Learn to spot the signs of affinity fraud before you invest. #fraudprevention https://www.tn.gov/commerce/news/2019/11/18/tdci-issues-advisory-to-raise-awareness-about-affinity-fraud.html
Marijuana investment opportunities are growing. Learn how to keep your investment from going up in smoke. bit.ly/2E9NyrQ
