NASAA EFD is live and available to regulators and filers at its new website nasaaefd.org. For more information about the migration, please see the latest press release.
NASAA members shield investors from harmful practices, products and people.
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NASAA members provide regulatory frameworks for responsible capital formation.
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NASAA's legislative agenda calls for Congress to prioritize investor protection.
Learn MoreNASAA Announces $106 Million Multi-State Settlement with Vanguard
NASAA Announces $17 Million Multi-State Enforcement Settlement with Edward Jones
NASAA Statement on Departure of Gary Gensler as SEC Chairman and Jaime Lizárraga as SEC Commissioner
NASAA Announces Upcoming Changes to the Electronic Filing Depository
NASAA Investor Bulletin: Social Isolation and the Risk of Investment Fraud
Examination Requirements for Investment Adviser Representatives
Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
Fraudsters can trick anyone, regardless of age or experience. Knowing their tactics is your first line of defense. Always stay skeptical of offers that sound too good to be true. Learn more about how to identify these schemes and protect your finances with insights from @NASAA.…
Protecting seniors from investment fraud is crucial. Our Serve Our Seniors portal offers valuable resources and training materials to help safeguard seniors from financial exploitation and investment fraud. Check it out here: https://www.nasaa.org/serveourseniors/
Ensure your investment adviser registration is up to date. We list states’ general IA and IAR registration requirements on our website. Find your state here: https://www.nasaa.org/industry-resources/investment-advisers/state-investment-adviser-registration-information/
Are your firm’s books and records ready for an examination? A little planning can better prepare firms for a smooth, efficient regulatory examination. Our article, “Record Keeping Preparation for a Regulatory Examination,” can help you prepare. Read: https://www.nasaa.org/industry-resources/investment-advisers/resources/compliance-matters-record-keeping-preparation-for-a-regulatory-examination/
NASAA has announced a $17 million multi-state enforcement settlement with Edward Jones. Details: https://bit.ly/4h7bexs
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