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North American Securities Administrators Association (NASAA)

Get the latest news and insights on the North American Securities Administrators Associations' views on financial regulations, enforcement actions and litigation.


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Draft Labor Regulations Allow Annuity Commissions
NASAA Releases New Study Guides for Qualification Exams
NASAA to Allow 5-Year Breaks for Brokers, IARs
NASAA Clears Way for 5-Year Breaks From Industry, Adds Guam
NASAA Lowers Passing Score for Series 65 Exam


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Regulators Warn of Self-Directed IRA Risks
NASAA Plans 2023 Push for Bad Actors Database
Get Ready: FINRA’s New CE Rules Start in January
Will NASAA’s REIT Plan Sync With Reg BI? — SEC Roundup
6 Fraud Schemes That Were Busted by State Regulators