The North American Securities Administrators Association (NASAA) represents state and provincial securities regulators in the United States, Canada and Mexico.

NASAA members are the closest regulators to local communities, small businesses and the investing public throughout North America. Members of NASAA have a multifaceted mission of protecting investors from fraud and abuse, conducting investor education, providing guidance and assistance via the established regulatory framework, and ultimately helping power the North American economy by ensuring the integrity of the financial markets.



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How NASAA Members Serve & Protect Investors

NASAA members have protected Main Street investors for more than 100 years. NASAA members protect investors and help maintain the integrity of the securities industry by:

Licensing stockbrokers, investment adviser firms (those managing less than $100 million in assets), and securities firms that conduct business in the state.

Registering certain securities offered to the states’ investors.

Investigating investor complaints and potential cases of investment fraud

Enforcing state securities laws by fining, penalizing, providing restitution to investors, prosecuting white-collar criminals, and imposing legally binding conduct remedies designed to correct specific problems.

Examining brokerage and investment adviser firms to ensure compliance with securities laws and maintenance of accurate records of client accounts.

Reviewing certain offerings that are not exempt from state law.

Educating investors about their rights and providing the tools and knowledge they need to make informed financial decisions.

Advocating passage of strong, sensible, and consistent state securities laws and regulations.

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