Investor EducationState and provincial securities regulators have a long tradition of protecting investors through financial education. NASAA and its members provide a variety of online investor education resources for investors of all ages, from youth to seniors, designed to help investors avoid scams and frauds and invest with confidence. |
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Issues & AdvocacyNASAA actively advocates for the pro-investor policy positions of state and provincial securities regulators through testimony, comment letters and other congressional correspondence. NASAA’s legislative activity is geared toward ensuring state and provincial securities regulators maintain authority essential to keep capital markets safe for all investors. |
NASAA Enforcement Statistics
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Regulatory & Legal Activity
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Industry ResourcesNASAA offers a variety of resources for the regulatory community and securities industry professionals, including broker-dealers and investment advisers. Access information about registration, examination, and licensing requirements for broker-dealers and investment advisers, as well as information on continuing education opportunities. |
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NASAA NewsroomThe NASAA Newsroom offers a variety of resources to the media, including news releases, speeches, backgrounders and other resources to help reporters understand how state securities regulators protect investors from investment fraud. |