North American Securities Administrators Association - NASAA %

Protect

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

NASAA members empower investors to make informed financial decisions.
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Facilitate

NASAA members provide regulatory frameworks for responsible capital formation.
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Advocate

NASAA's legislative agenda calls for Congress to prioritize investor protection.
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News & Announcements

October 3, 2022
NASAA Announces Speakers and Agenda for November 3 “NASAA’S Senior Issues and Diminished Capacity Committee Presents” Webcast
October 3, 2022
NASAA Bulletin: Investor Resilience – World Investor Week 2022
September 28, 2022
NASAA 2023 Fee Announcement
September 21, 2022
North American Securities Administrators Association Announces 2022 Fall Award Recipients
September 20, 2022
NASAA Releases Annual Enforcement Report

ARCHIVE

EVENTS

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INVESTOR ADVISORIES

November 29, 2022
Informed Investor Advisory: Unsolicited Text Messages
November 29, 2022
Informed Investor Advisory: Single Stock ETFs

policy updates

November 30, 2022Letters to Congress
NASAA Letter to Committee Leadership Regarding Lessons from the FTX Bankruptcy
November 25, 2022Comment Letters
NASAA Comment Letter Regarding SR-FINRA-2022-019
October 12, 2022Comment Letters
NASAA Comment Letter Regarding SR-FINRA-2022-015
October 11, 2022Comment Letters
NASAA Comment Letter Regarding SEC Release No. IA-6083

> Serve Our Seniors

> IAR Continuing Education

NASAA SPOTLIGHT

> Serve Our Seniors

> IAR Continuing Education

TRAINING

Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors

REQUESTS FOR COMMENT

Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
ENFORCEMENT STATISTICS

Learn more about the enforcement activities of NASAA members.

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.

2021 ACTIVITY REPORT

NASAA Members: Leading the Way on Investor Protection

Featured Video

Check out our newest video, "Reassigned Investment Accounts."