Media Contacts: Karen Grajales, Manager, Communications and Investor Outreach
NASAA members shield investors from harmful practices, products and people.
NASAA members empower investors to make informed financial decisions.
NASAA members provide regulatory frameworks for responsible capital formation.
NASAA's legislative agenda calls for Congress to prioritize investor protection.
NASAA Announces Speakers and Agenda for November 3 “NASAA’S Senior Issues and Diminished Capacity Committee Presents” Webcast
NASAA Bulletin: Investor Resilience – World Investor Week 2022
NASAA 2023 Fee Announcement
North American Securities Administrators Association Announces 2022 Fall Award Recipients
NASAA Releases Annual Enforcement Report
Informed Investor Advisory: Unsolicited Text Messages
Informed Investor Advisory: Single Stock ETFs
NASAA Letter to Committee Leadership Regarding Lessons from the FTX Bankruptcy
NASAA Comment Letter Regarding SR-FINRA-2022-019
NASAA Comment Letter Regarding SR-FINRA-2022-015
NASAA Comment Letter Regarding SEC Release No. IA-6083
Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
Learn more about the enforcement activities of NASAA members.
The NASAA Electronic Filing Depository allows filers and issuers to quickly submit filing notices, fees, and forms to states, U.S. territories and jurisdictions.
Learn more about NASAA's New Franchise State Cover Sheets Instructions (Effective January 1, 2020)
Visit NASAA's Serve Our Seniors website.
Go inside real life cases of investment fraud in NASAA's Real Life Regulators podcast.
NASAA Members: Leading the Way on Investor Protection
NASAA is supporting the efforts of policymakers to learn the right lessons from the FTX bankruptcy. Read our full letter to Congress, today: https://bit.ly/3GW9Uib
Before you click on any #cybermonday deals, check out our free resource for protecting your online accounts. Learn how to keep virtual distance between scammers and your money. https://bit.ly/3qQrn3t
NASAA wishes all in the U.S. a very happy Thanksgiving! Besides shopping, think about saving and investing wisely!
Have a question or concern for your state or provincial securities regulator? Look no further than NASAA’s online directory. Click on your state, province, or territory to find helpful resources, including contact info. https://bit.ly/2T6eHr5
Are you in law school & looking for a challenging internship in the investment field? Join us spring semester. Learn more and apply, today: https://bit.ly/3tTzigJ