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

February 4, 2021
NASAA Announces State Enforcement Actions Against GPB Capital Holdings for Allegedly Defrauding Investors in $1.8 Billion Private Offering Scheme
January 29, 2021
NASAA Reminds Regulated Firms of Customer Obligations and Investors About Risks of Stock Price Volatility
January 22, 2021
Investor Protection Advocates Urge Biden Administration Not to Weaken Securities Laws
January 19, 2021
NASAA Statement on Nomination of Gary Gensler as SEC Chair
January 7, 2021
NASAA Reminds Firms to Contact Regulators with Issues Related to Malicious Versions of SolarWinds Software

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EVENTS

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INVESTOR ADVISORIES

February 16, 2021
Informed Investor Advisory: Protecting Your Online Accounts
February 9, 2021
Social Isolation and the Risk of Investment Fraud

policy updates

NASAA SPOTLIGHT

Enforcement Statistics

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.
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.

Featured Video

Check out our latest video in our Get in the Know series.