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 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.
Investor Advisories
Events
Policy Updates
NASAA Recordkeeping Requirements for Investment Advisers Model Rule 411(C)-1
NASAA Recordkeeping Requirements for Investment Advisers Model Rule 203(A)-2
