Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. We are a voluntary association whose membership consists of 66 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, Canada, and Mexico. In the United States, NASAA is the voice of the 50 state securities agencies responsible for efficient capital formation and grass-roots investor protection.
Any individual or organization who wishes to protect themselves from securities fraud will find the information on this site useful. Entrepreneurs will find valuable information on franchising and raising capital in the "Help for small business" section. Other areas contain important information for small investment advisers and those with an interest in state "blue sky" securities laws.
Welcome to our site. We hope that the resources we provide are useful to you, and welcome your comments.
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Frequently Asked Questions for the New Series 65 & 66 Exams
Market Volatility: Investors Should Focus on the Long Term, 4/7/00
NASAA Comment Letter to the FTC on Gramm-Leach-Bliley Act Privacy Rule, 16 CFR Part 313, 3/31/00 (in PDF Format)
State Securities Regulators Announce Completion of D.H. Blair Settlement Agreement, 3/31/00
NASAA Comment Letter on Proposed Amendments to NASD Rules 2360 and 2361 Relating to the Opening of Day Trading Accounts, 3/23/00 (in PDF Format)
NASAA Names Marc Beauchamp New Executive Director, 3/15/00
NASAA Model Jury Instructions, 1/9/00 (in PDF Format)
NASAA Day Trading Project Group:
Report: Findings & Recommendations, 8/9/99
Report: Findings & Recommendations in PDF
An Analysis of Public Day Trading at a Retail Day Trading Firm by Ronald Johnson, Investment Consultant, 8/9/99
List of Day Trading Firms in PDF
NASAA President Peter C. Hildreth's Remarks on the Day Trading Project Group's Report, National Press Club, 8/9/99
2000 NASAA Project Groups, Updated 4/6/00
In an effort to more effectively utilize the NASAA Website and provide efficient and effective coverage of items for public comment to our members and the public, the NASAA Board of Directors has authorized the NASAA Website to be the official location for displaying items for public comment. In the past CCH fulfilled this function. Items for public comment will still be published in CCH. However, the 30 day period available for public comment will begin on the date the item for public comment is posted on the NASAA website.
Last Update April 13, 2000