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NASAA members provide regulatory frameworks for responsible capital formation.
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NASAA’s Electronic Filing Depository to Accept Mutual Fund Filings
Guidance Issued for Historical Franchise Performance Representations Reflecting COVID-19 Impacts
NASAA Letter to the SEC Regarding Proposed Rule Change to Adopt FINRA Rule 3241
NASAA Letter Regarding the Financial Services and General Government Appropriations Act (H.R. 7668)
Registration is open for this online event.
The NASAA Electronic Filing Depository allows filers and issuers to quickly submit filing notices, fees, and forms to states, U.S. territories and jurisdictions.
It’s hard to think about money when you’re going through a tough time. Here are some tips on how to have the “money talk.” http://bit.ly/31Wkq4t
NASAA has released for public comment a proposed model act to assist states in creating a restitution assistance fund for victims of securities law violations. We look forward to hearing from you. http://bit.ly/3dRqFZG
NASAA today updated the status of the work of the COVID-19 Enforcement Task Force, consisting of state and provincial securities regulators, to identify and stop potential threats to investors stemming from the pandemic. Details: http://bit.ly/30PwV1w
