NASAA EFD will be unavailable to receive or review regulatory filings between 12:00 a.m., 1/1/2025, and 9:00 a.m., 1/6/2025. For more information, please see the related press release.
NASAA members shield investors from harmful practices, products and people.
Check your professional's background.
NASAA members provide regulatory frameworks for responsible capital formation.
Learn More
NASAA's legislative agenda calls for Congress to prioritize investor protection.
Learn MoreNASAA Statement on Departure of Gary Gensler as SEC Chairman and Jaime Lizárraga as SEC Commissioner
NASAA Announces Upcoming Changes to the Electronic Filing Depository
NASAA Opens Public Comment Period for Proposed Revisions to Its Broker-Dealer Conduct Model Rule
NASAA Announces 2025 Fee Schedule for Investment Adviser Registration Depository System
NASAA Investor Bulletin: Social Isolation and the Risk of Investment Fraud
Examination Requirements for Investment Adviser Representatives
Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors
Requests for public comments on NASAA proposed Model Rules and Statements of Policy.
Tempted to shift your savings into precious metals like gold and silver? Before you do, be aware that recently there have been new twists on precious metals scams. Our investor alert provides info you should consider before investing in precious metals. https://www.nasaa.org/72788/informed-investor-advisory-precious-metals-and-coin-investments/?qoid=investor-advisories
Mobile apps are everywhere, but not all are safe. App stores can’t verify every app, including those offering investing services. Be cautious with your money and personal information. Learn how to spot red flags and protect yourself from investment fraud. https://www.nasaa.org/72014/informed-investor-advisory-mobile-app-scams/?qoid=investor-advisories
IARs must complete IAR CE courses and IAR CE Providers must report those course completions to FINRA before the CRD system shutdown on December 26 to ensure IAR CE credits are applied before the end of the year. Details: https://www.nasaa.org/wp-content/uploads/2024/11/IAR-CE-End-of-Year-Memo-Nov-2024.pdf
📢 Investor Alert: Investment professionals in the U.S. & Canada must provide key documents to clients. Learn who sells securities, what to expect in disclosures, and how to protect yourself. Read more: https://bit.ly/3U1W3Nk
On this Friday the 13th, let’s talk about the real-life risks of investment scams. Our flier highlights the warning signs of scams like pig butchering and how you can help friends and family protect their assets.
Read more here: https://www.nasaa.org/wp-content/uploads/2024/07/Helping-Investors-Protect-Their-Assets-1.pdf
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION ™750 First Street NE, Suite 990
