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    • July 16, 2023

      NASAA’s Electronic Filing Depository to Accept Mutual Fund Filings

    • July 1, 2023

      NASAA Seeks Public Comment on Proposed Model Act to Establish Restitution Fund for Victims of Securities Law Violations

    • June 17, 2023

      Guidance Issued for Historical Franchise Performance Representations Reflecting COVID-19 Impacts

    • June 16, 2023

      NASAA Updates COVID-19 Enforcement Task Force Actions

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    • September 01, 2023

      2023 NASAA Virtual Annual Meeting

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    INVESTOR ADVISORIES

    • June 3, 2023

      COVID-19 Related Early Withdrawals from Retirement Accounts

    • May 18, 2023

      Informed Investor Advisory: Private Placement Offerings

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    policy updates

    • July 31, 2023Comment Letters

      NASAA Letter to the SEC Regarding Proposed Rule Change to Adopt FINRA Rule 3241

    • July 29, 2023Letters to Congress

      NASAA Letter Regarding the Financial Services and General Government Appropriations Act (H.R. 7668)

    • July 23, 2023Legal Briefs

      NASAA Amicus Brief in Support of the Colorado Securities Commissioner’s Petition for Writ of Certiorari to the Colorado Supreme Court in Tung v. HEI Resources

    • July 2, 2023NASAA Proposals

      Notice of Request for Public Comment Regarding Proposed Model Rule for Investment Adviser Written Policies and Procedures Under the Uniform Securities Acts of 1956 and 2002

    NASAA SPOTLIGHT

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      ANNUAL MEETING

      Registration is open for this online event.

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      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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      REQUESTS FOR COMMENT

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

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      ENFORCEMENT REPORT

      Learn more about the enforcement activities of NASAA members.

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      FRANCHISE RESOURCES

      Learn more about NASAA's New Franchise State Cover Sheets Instructions (Effective January 1, 2023)

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      SERVE OUR SENIORS

      Visit NASAA's Serve Our Seniors website.

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      PODCASTS

      Go inside real life cases of investment fraud in NASAA's Real Life Regulators podcast.

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