NASAA Shortens Wait Time for FINRA Series 63, 65, 66 Retests

August 11, 2026

NASAA Highlights Concerns About Digital Commodity Intermediaries Act

January 26, 2026

NASAA Amends Non-Traded REIT Guidelines

September 8, 2025

NASAA Seeks to Ease Investment Adviser Advertising Rules to Align With SEC

July 30, 2025

Reconciliation Bill Falls Short on BDC Tax Parity, but Reform Momentum Builds

July 21, 2025

NASAA Announces $9.3M Settlement With Five Firms That Overcharged Customers

June 9, 2025

NASAA Members Adopt Conduct Rule Amendments to More Align With Reg BI

April 7, 2025

NASAA Seeks Public Comment on Latest Proposed Revisions to Non-Traded REIT Guidelines

March 31, 2025

Report Shows Increasing Fraud Associated With Digital Assets, Social Media

February 29, 2024

Regulatory Perspective: The Path Ahead for Alts in 2023

February 28, 2023

NASAA Reports Increased Enforcement Actions Tied to Commodities, Digital Assets

October 4, 2021

NASAA Members Adopt Model Rule to Require Continuing Education by Investment Adviser Representatives

December 2, 2020

State Regulators Propose Establishing Restitution Fund for Victims of Securities Law Violations

July 2, 2020

NASAA Announces Top Investor Threats for 2020

January 3, 2020

SEC and NASAA Issue Summary of Securities Laws Relating to Opportunity Zone Investments

July 16, 2019

Massachusetts Securities Division Fines LPL $1.1 Million over Unregistered Agents and Late Filings

June 27, 2019

NASAA: State Regulators Ready to Help During Partial SEC Shutdown

January 15, 2019

NASAA: Enforcement Actions Skyrocket for RIAs in 2017

October 29, 2018

LPL Fined $26 Million Over Sales of Unregistered Securities

May 3, 2018