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- North American Securities Administrators Association - NASAA
NASAA is an association of state securities administrators who are charged with the responsibility to protect consumers who purchase securities or investment advice
- About Us - NASAA
NASAA is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U S Virgin Islands, Canada, and Mexico
- About - NASAA
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
- Investment Adviser Representative Continuing Education - NASAA
Welcome to the resource page for NASAA’s Investment Adviser Representative Continuing Education (IAR CE) program NASAA’s IAR CE model rule represents the culmination of years of work by state securities regulators and industry to develop a relevant and responsive continuing education program
- Investment Adviser Guide - NASAA
States have either adopted the NASAA model custody rule or language similar to either the NASAA model custody rule or the SEC custody rule In September 2011, NASAA approved amendments to its custody model rule, aligning it closely to the SEC custody rule
- Our Role - NASAA
NASAA members work within your state government to 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
- Exams - NASAA
NASAA’s exams are administered for NASAA by the Financial Industry Regulatory Authority (FINRA) A candidate may open a window for one of NASAA’s exams through his or her firm or independently through FINRA’s Test Enrollment Services System
- Series 63 Exam Content Outline - NASAA
Candidates should educate themselves about the Uniform Securities Act, as well as Statements of Policy and Model Rules adopted by NASAA, in preparation for the Series 63 exam
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