North American Securities Administrators Association - NASAA %

Inform

Stay informed about regulatory developments related to COVID-19.
COVID-19 Updates
Protect

NASAA members shield investors from harmful practices, products and people.
Check your professional's background.
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

April 3, 2020
NASAA Outlines Investor Protection Concerns Amid COVID-19 Crisis in Remarks to SEC Advisory Committee
March 30, 2020
COVID-19-Related Investment Schemes Anticipated
March 26, 2020
NASAA Outlines Steps State Securities Regulators are Taking to Provide Temporary Regulatory Relief Amid COVID-19 Pandemic
March 17, 2020
NASAA Urges SEC Not to Move Forward with Proposal to Expand Access to High-Risk Private Offerings Without Added Protections
March 2, 2020
State and Provincial Securities Regulators Offer Resources Addressing Unique Investing Issues Facing Women

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EVENTS

May 04, 2020
2020 NASAA Public Policy Conference Cancelled
August 30, 2020
2020 NASAA Fall Annual Meeting

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INVESTOR ADVISORIES

December 18, 2019
Informed Investor Advisory: Bond Ratings
December 18, 2019
It Pays to Pay Attention to Your Brokerage Account Statements

policy updates

NASAA SPOTLIGHT

ELECTRONIC FILING (EFD)

Learn how to use NASAA's streamlined filing system for Form D and Form NF-UIT filings.

Financial Empowerment for Women

Resources to empower women investors to take control of their financial futures.
ENFORCEMENT REPORT

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.
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.

Annual Report

NASAA's Annual Report recaps an active 2019.

Featured Video

What NASAA Means