NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™

Protect

NASAA members shield investors from harmful practices, products and people.

Educate

NASAA members empower investors to make informed financial decisions.

Facilitate

NASAA members provide regulatory frameworks for responsible capital formation.

Advocate

NASAA’s legislative agenda calls for Congress to prioritize investor protection.

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

October 16, 2025

States and CFTC Secure Final Judgment Against Precious Metals Firm that Defrauded Elderly Adults

NASAA today announced that the U.S. District Court for the Central District of California has entered a final judgment imposing approximately $25.6 million in restitution and an equal civil monetary penalty against Safeguard Metals LLC and its owner, Jeffrey Ikahn, for operating a fraudulent scheme targeting elderly and retirement-aged individuals.

NASAA has released its 2025 Enforcement Report, identifying digital assets, pig butchering scams, and other technology-based schemes among the top investor threats. 📄 Details: https://bit.ly/4qg0B0L

“What’s the most important feature you look for in an investing app?”💬 Drop your thoughts below! Learn more about using smartphone apps for investing and how to protect your finances: https://bit.ly/46TLzGF #InvestorEducation

Load More

NASAA Welcomes

Cody Schmidt
Chief Director of
Securities Regulation,
North Dakota Insurance
& Securities Department

 

NASAA Welcomes

Tracy Reno
Acting Director,
Alaska Division of Banking
and Securities

 

 

Featured Video

Skip to content