WASHINGTON, D.C. – (September 28, 2026) – The North American Securities Administrators Association (NASAA) is inviting industry and financial services professionals to register for the inaugural NASAA Regulatory Systems and Services (RSS) Symposium, a new training event focused on the regulatory tools and systems professionals use every day. The Symposium is November 17-18 in Dallas, Texas. Book your hotel room now before the October 26 deadline here.
The symposium will bring together state securities regulators, industry professionals and NASAA Corporate Office staff for practical discussions on regulatory developments, filing best practices, system functionality and common compliance challenges. The program will also provide opportunities to exchange ideas, share best practices and strengthen collaboration across the regulatory community.
Sessions will address topics including common state concerns when reviewing Form U4 and Form ADV filings, best practices for submitting filings through the Electronic Filing Depository (EFD), and emerging issues affecting registration, licensing and compliance. Select sessions are expected to offer Investment Adviser Representative Continuing Education (IAR CE) credit, providing additional value for professionals working to meet year-end education requirements.
The RSS Symposium is designed for professionals who work with NASAA’s regulatory systems and are seeking practical insights they can apply to their registration, licensing and compliance responsibilities.
The symposium is particularly relevant for:
- Compliance officers and compliance specialists
- Registration and licensing analysts
- Blue sky paralegals
- Securities counsel
- Third-party regulatory compliance agencies
- Other industry professionals responsible for registration, licensing and regulatory filings
The RSS Symposium offers an opportunity for industry professionals to engage directly with state regulators and NASAA staff, learn about the latest developments and functionality, and gain practical knowledge to support their regulatory and compliance responsibilities.
Don’t wait! Register now for the 2026 NASAA Regulatory Systems and Services Symposium.
– NASAA–
About NASAA:
Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of the securities regulators in the 50 states, the District of Columbia, Puerto Rico, Guam, the U.S. Virgin Islands, the 13 provincial and territorial securities regulators in Canada, and the securities regulator in México. For more information, visit www.nasaa.org.
For More Information:
Fred Baldassaro, Director of Communications
fbaldassaro@nasaa.org | 202-737-0900
Karen Grajales, Manager, Communications and Investor Outreach
kgrajales@nasaa.org | 202-737-0900
