INDUSTRY RESOURCES
Investment Advisers
This area includes material of interest to investment advisers and investment adviser representatives.
Broker-Dealers
This area includes resources and reports of interest to broker-dealers and their registered representatives.
Securities Issuers
This area includes corporation finance information for small businesses and entrepreneurs seeking to raise investment capital.
Franchise Resources
This area includes materials and resources of interest to current and prospective franchisors and franchisees.
CRD & IARD Resources
Learn more about the database systems used to register and retain records of broker-dealers and investment advisers.
Uniform Forms
NASAA’s Uniform Forms library contains common forms for use by broker-dealers, investment advisers and securities issuers.
Senior Resources
Learn more about how you can use NASAA resources to help protect seniors and vulnerable adults from financial exploitation.
Uniform Securities Acts
NASAA presents three model acts developed by the Uniform Law Commission. States can use these model acts as the basis for their own securities statutes.
