Who We Are
The North American Securities Administrators Association, founded in Kansas in 1919, is the oldest international investor protection organization. NASAA is an association of state securities administrators who are charged with the responsibility to protect consumers who purchase securities or investment advice.
NASAA Spotlight
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.
Training
Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors
Franchise Resources
Learn more about NASAA’s New Franchise State Cover Sheets Instructions (Effective January 1, 2020)
Podcasts
Go inside real life cases of investment fraud in NASAA’s Real Life Regulators podcast.
Requests for Comments
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
Enforcement Statistics
Learn more about the enforcement activities of NASAA members.
Serve Our Seniors
NASAA and its members work to protect investors and are especially focused on efforts to prevent the financial exploitation of older investors.
IAR Continuing Education
NASAA’s IAR CE model rule represents the culmination of years of work by state securities regulators and industry to develop a relevant and responsive continuing education program
News & Announcements
NASAA Champions Community Resources for World Elder Abuse Awareness Day
In recognition of World Elder Abuse Awareness Day on June 15, the North American Securities Administrators Association (NASAA) reminds financial professionals and the public that they play an important role in helping older investors identify and avoid financial scams. As financial scams targeting older adults continue to rise, NASAA underscores the critical role of community vigilance and education.
Investor Advisories
Events
Policy Updates
Have you been offered a too-good-to-be-true investment opportunity? Remember that some investments can be scams. To assess the risk, use our INVESTigate checklist. It’s designed to help you ask the right questions before investing your hard-earned money. https://bit.ly/45K5eqb
The NASAA Investor Protection and Education Foundation is now accepting nominations for its first Board of Directors. Help us advance investor protection. Nominations due by July 2, 2025. More info: https://bit.ly/4jz5lKh
