NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™
North American Securities Administrators Association
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Protect

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

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Educate

NASAA members empower investors to make informed financial decisions.

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Facilitate

NASAA members provide regulatory frameworks for responsible capital formation.

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Advocate

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

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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.

Our Story

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.
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Training

Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors
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Franchise Resources

Learn more about NASAA’s New Franchise State Cover Sheets Instructions (Effective January 1, 2020)
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Podcasts

Go inside real life cases of investment fraud in NASAA’s Real Life Regulators podcast.
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Requests for Comments

Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
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Enforcement Statistics

Learn more about the enforcement activities of NASAA members.
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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.
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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
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News & Announcements

November 10, 2026

North American State Securities Regulators Handle Over 9,000 Investigations and Impose Over $825 Million in Monetary Relief in 2025 to Combat Fraud and Exploitation

NASAA today released its 2026 Enforcement Report, revealing that state securities regulators managed more than 9,000 investigations and secured over $825 million in total monetary relief and sanctions in 2025.
October 15, 2026

NASAA Announces Settlement with Wells Fargo and Merrill Lynch Over Excessive Commissions on Small-Dollar Trades

October 6, 2026

NASAA Welcomes New President and Announces 2026-2027 Board of Directors at 2026 Fall Annual Meeting

September 28, 2026

Be a Part of NASAA’s Inaugural Regulatory Systems and Services Symposium

Archive

Investor Advisories

October 5, 2026

NASAA Investor Bulletin: World Investor Week 2026

September 30, 2026

Informed Investor Advisory: Financial Professional Titles

September 30, 2026

Informed Investor Advisory: Financial Advice via Social Media – the Rise of the “Finfluencer”

September 16, 2026

Informed Investor Advisory: Money Mules: How an Easy Buck Can Turn You into an Accidental Criminal

Archive

Events

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Policy Updates

October 20, 2026 | Comment Letters

NASAA Comment Letter to the SEC Regarding S7-2026-27: Regulation Crypto Assets

October 14, 2026 | NASAA Proposals

Notice of Updated Request for Public Comment Regarding the NASAA Statement of Policy on Sales of Investment Company Shares and Other NASAA Model Rules

October 14, 2026 | Comment Letters

NASAA Comment Letter to the September 30, 2026 Small Business Capital Formation Advisory Committee Recommendation Regarding the Registered Offering Reform Proposal

September 28, 2026 | Comment Letters

NASAA Comment Letter to the SEC Regarding File No. SR-FINRA-2026-018, Proposed Amendments to Rules on Financial Exploitation and Customer Account Information and New Rule on Temporary Delays for Suspected Fraud

September 25, 2026 | Comment Letters

NASAA Comment Letter to FINRA Regarding Regulatory Notice 26-15: Best Execution

September 23, 2026 | NASAA Proposals

Notice of Request for Public Comment Regarding Proposed Revisions to the Form U2: Uniform Consent to Service of Process

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NASAA Follow

The latest news from the North American Securities Administrators Association, the voice of state and provincial securities regulators.

NASAA
nasaa

NASAA

@nasaa ·
4h

TODAY: NASAA has just released its 2026 Enforcement Report, revealing that state securities regulators managed more than 9,000 investigations and secured over $825 million in total monetary relief and sanctions in 2025.

See the link for details. https://bit.ly/nasaa-enforcement-2026

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nasaa

NASAA

@nasaa ·
9 Nov

NASAA is seeking a Senior Director of Policy Strategy and Government Relations to advance our federal legislative and regulatory policy agenda.
Learn more and apply here: 🔗

#HiringNow!

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nasaa

NASAA

@nasaa ·
6 Nov

Think scams only happen to other people? Think again. If it’s happened to you, your state or provincial securities regulator can help. 🔗Start here:

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NASAA welcomes new member
Jeramy E. Heintz,
Securities Commissioner,
Texas State Securities Board.

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NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™
750 First Street NE, Suite 990
Washington, DC 20002
202-737-0900
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION™
750 First Street NE, Suite 990
Washington, DC 20002
202-737-0900
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