![Reg-BI-Phase-II-cover](https://www.nasaa.org/wp-content/uploads/2021/11/Reg-BI-Phase-II-cover.png)
This NASAA report provides the results of a nationwide survey conducted by state securities regulators and is the first comprehensive look at broker-dealer industry policies and practices following the implementation of Regulation Best Interest (Reg BI) by the Securities and Exchange Commission.
![2023 Enforcement Report Cover](https://www.nasaa.org/wp-content/uploads/2024/02/2023-Enforcement-Report-Cover-231x300.png)
The NASAA 2023 annual enforcement report highlights investigations and enforcement actions taken by state securities regulators to protect investors and maintain the integrity of the nation’s financial markets.
![2021-Investment-Adviser-Coordinated-Exams-cover](https://www.nasaa.org/wp-content/uploads/2021/11/2021-Investment-Adviser-Coordinated-Exams-cover.png)
The NASAA 2021 Investment Advisor Examination Sweeps report is based on coordinated examinations of state-registered investment advisers throughout the United States. This report identifies top compliance deficiencies and offers a series of recommended best practices for investment advisers to consider in order to improve their compliance practices and procedures.
![](https://www.nasaa.org/wp-content/uploads/2019/05/Insight.png)
The quarterly NASAA Insight newsletter keeps readers up to date on recent news and activities of the association and its members.