REPORTS
Reports by NASAA’s Broker-Dealer Section on areas of interest to broker-dealers.
COMPLIANCE
FINDINGS
Examiners from NASAA members conduct coordinated biennial exams of broker-dealers for compliance issues and prepare suggested best practices.
SENIOR MATTERS
Learn more about how you can use NASAA resources to help protect seniors and vulnerable adults from financial exploitation.
RESOURCES
Check this section for useful information and material for broker-dealers.
LICENSING EXAM INFORMATION
Learn about the licensing exams that normally are a prerequisite for being licensed by a state before a broker-dealer can work with investors.
