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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Who We Are

The North American Securities Administrators Association, founded in Kansas in 1919, is the oldest international investor protection organization. NASAA is an association of state securities administrators who are charged with the responsibility to protect consumers who purchase securities or investment advice.

Our Story

NASAA Spotlight

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.

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Training

Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors

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Franchise Resources

Learn more about NASAA’s New Franchise State Cover Sheets Instructions (Effective January 1, 2020)

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Podcasts

Go inside real life cases of investment fraud in NASAA’s Real Life Regulators podcast.

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Requests for Comments

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

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Enforcement Statistics

Learn more about the enforcement activities of NASAA members.

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Serve Our Seniors

NASAA and its members work to protect investors and are especially focused on efforts to prevent the financial exploitation of older investors.

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IAR Continuing Education

NASAA’s IAR CE model rule represents the culmination of years of work by state securities regulators and industry to develop a relevant and responsive continuing education program

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News & Announcements

October 6, 2026

NASAA Welcomes New President and Announces 2026-2027 Board of Directors at 2026 Fall Annual Meeting

NASAA announced today that Elizabeth Bowling, Tennessee Department of Commerce and Insurance (TDCI) Assistant Commissioner, Securities, has become NASAA’s President during the 2026 NASAA Fall Annual Meeting in Chicago.

September 28, 2026

Be a Part of NASAA’s Inaugural Regulatory Systems and Services Symposium

September 17, 2026

NASAA Announces 2027 System Fees for Investment Adviser Registration Depository System

August 10, 2026

NASAA Approves Updated Waiting Period for Series 63, 65, and 66 Exam Retests

Investor Advisories

October 5, 2026

NASAA Investor Bulletin: World Investor Week 2026

September 30, 2026

Informed Investor Advisory: Financial Professional Titles

September 30, 2026

Informed Investor Advisory: Financial Advice via Social Media – the Rise of the “Finfluencer”

September 16, 2026

Informed Investor Advisory: Money Mules: How an Easy Buck Can Turn You into an Accidental Criminal

Events

October 04, 2026

2026 NASAA Fall Annual Meeting

November 17, 2026

2026 NASAA Regulatory Systems & Services Symposium

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Policy Updates

September 28, 2026 | Comment Letters

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2026-018, Proposed Amendments to Rules on Financial Exploitation and Customer Account Information and New Rule on Temporary Delays for Suspected Fraud

September 25, 2026 | Comment Letters

NASAA Comment Letter to FINRA Regarding Regulatory Notice 26-15: Best Execution

September 23, 2026 | NASAA Proposals

Notice of Request for Public Comment Regarding Proposed Revisions to the Form U2: Uniform Consent to Service of Process

September 21, 2026 | Comment Letters

NASAA Comment Letter to the SEC Regarding File No. S7-2026-25, Proposed Regulation E-Delivery

September 18, 2026 | Comment Letters

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2026-017, Proposed Amendments to FINRA Rules Regarding Arbitrator Selection

September 14, 2026 | Letters to Congress

NASAA Urges Senators to Vote NO on the Digital Asset Market Clarity Act

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NASAA Follow

The latest news from the North American Securities Administrators Association, the voice of state and provincial securities regulators.

NASAA

@nasaa ·

2 Oct

Tokenization is reshaping capital markets. At #NASAA2026, our panel, “Tokenized Securities: Reshaping Markets and Regulation?”, will discuss the opportunities and challenges it presents for regulators and investors. Oct. 4-6 in Chicago. https://bit.ly/nasaa2026fall

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NASAA

@nasaa ·

1 Oct

Don't miss NASAA's Prediction Markets panel. Experts will explore regulatory developments, emerging risks, and investor protection considerations in this rapidly evolving space. Oct. 4-6, 2026. Register: https://bit.ly/nasaa2026fall #NASAA2026

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NASAA welcomes new member
Jeramy E. Heintz,
Securities Commissioner,
Texas State Securities Board.

Protect

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

Educate

NASAA members empower investors to make informed financial decisions.

Facilitate

NASAA members provide regulatory frameworks for responsible capital formation.

Advocate

NASAA’s legislative agenda calls for Congress to prioritize investor protection.

Who We Are

NASAA Spotlight

Electronic Filing (EFD)

Training

Franchise Resources

Podcasts

Requests for Comments

Enforcement Statistics

Serve Our Seniors

IAR Continuing Education

News & Announcements

Investor Advisories

Events

Policy Updates

NASAA

NASAA

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NASAA welcomes new memberJeramy E. Heintz,Securities Commissioner,Texas State Securities Board.

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NASAA welcomes new member
Jeramy E. Heintz,
Securities Commissioner,
Texas State Securities Board.