Current Headlines
August 10, 2026
NASAA Approves Updated Waiting Period for Series 63, 65, and 66 Exam Retests
NASAA today announced a change to one of the waiting periods associated with NASAA’s Series 63, Series 65, and Series 66 qualification examinations. The revision will shorten the waiting period for candidates after their third unsuccessful attempt from 180 days to 60 days, allowing candidates the ability to retest 120 days earlier. The new waiting period will take effect January 4, 2027.
June 15, 2026
NASAA Warns of Imposter Scams on World Elder Abuse Awareness Day
As millions observe World Elder Abuse Awareness Day, NASAA continues to sound the alarm on the surge in financial exploitation using imposter scams and deepfake voices and videos.
May 14, 2026
NASAA Statement on U.S. Senate Banking Committee Vote on the CLARITY Act
The following is a statement from Marni Rock Gibson, President of the North American Securities Administrators Association (NASAA), on the U.S. Senate Banking Committee’s vote advancing the Digital Asset Market Clarity Act (the “CLARITY Act”) to the full Senate floor.
May 4, 2026
NASAA Modernizes Investment Adviser Advertising Rules to Align with Federal Standards
NASAA today announced that its membership has voted to adopt amendments to four model rules governing investment adviser advertising. These updates modernize state-level requirements, bringing them into closer alignment with current federal standards applicable to SEC-registered investment advisers.
May 4, 2026
NASAA Adopts New Model Act to Close Regulatory Gaps in the Franchise Industry
NASAA today announced the adoption of the NASAA Model Franchise Broker Registration Act, an important initiative designed to bring improved transparency and accountability to the franchise brokerage industry.
March 17, 2026
Andrea Seidt Named Vice Chair Of SEC Investor Advisory Committee
NASAA today announced that Andrea Seidt, Commissioner of the Ohio Division of Securities, has been named Vice Chair of the Securities and Exchange Commission’s Investor Advisory Committee (IAC).
March 10, 2026
NASAA Launches Comprehensive Online IAR Continuing Education Course Catalog to Streamline Compliance and Professional Development
NASAA today announced the launch of a comprehensive public course catalog for investment adviser representatives (IARs) seeking to fulfill their continuing education (CE) requirements under NASAA’s IAR CE Model Rule.
February 25, 2026
NASAA Urges Congress to Protect Investors and State Authority in Digital Asset Legislation
NASAA is calling on Congress to preserve state regulatory authority and essential investor protections as it advances digital asset market legislation.
February 9, 2026
This Valentine’s Day, Don’t Let Romance Scams Steal Your Heart or Your Money
As Valentine’s Day approaches, state and provincial securities regulators are warning consumers to be on guard against romance scams and so-called “relationship investment scams,” a fast-growing form of fraud that blends emotional manipulation with fake investment opportunities often perpetrated through social media.
December 11, 2025
Don’t Let Scammers Steal Your Holiday Spirit: NASAA Unveils the 12 Top Investor Threats
Don’t let fraudsters play the Grinch with your finances this holiday season. NASAA is warning investors that bad actors are preparing to unwrap a new generation of sophisticated schemes. Drawing on data from its 2025 Enforcement Report and annual survey of top investor threats, NASAA has identified top investors frauds and threats to watch out for this holiday season.
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