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Enforcement against fraud is the essence of what NASAA’s members do – to protect investors and to appropriately sanction and punish those who would harm or defraud investors. NASAA assists its members in coordinating enforcement efforts regarding multi-state frauds by facilitating the sharing of information and leveraging the resources of its members more efficiently.


NASAA’s Legal Services Committee and Legal Department prepare and file amicus curiae briefs in support of NASAA members and other parties in litigation in both state and federal courts.


NASAA’s enforcement reports include information from its members on complaints, investigations, formal enforcement actions, as well as monetary and criminal relief.