NASAA

Who should attend NASAA's inaugural RSS Symposium?
If you're a compliance officer, compliance specialist, registration or licensing analyst, blue sky paralegal, securities counsel, or part of a third-party regulatory compliance firm, this event is for you.

NASAA’s inaugural RSS Symposium is designed to provide practical registration, licensing, and filing insights, timely regulatory updates, and valuable opportunities to engage with regulators, NASAA staff, and peers. Topics will include filing best practices, system functionality, common compliance challenges, and emerging industry developments.

Join us and leave with actionable knowledge you can apply immediately.

November 17-18, 2026 | Dallas, TX

🔗 Learn more and register: https://www.nasaa.org/events/2026rss/

Could you recognize the warning signs of elder financial exploitation?

Watch NASAA's recorded webcast, "Spotlight on Seniors: Navigating the Challenges of Combatting Elder Financial Exploitation," to learn practical tools and strategies for helping protect older investors from financial abuse and fraud.
Hear insights from experts in regulation, law, the judiciary, and financial services.

🎥 Watch the recording: https://youtu.be/TEt02wPg2Ls?si=KA_v-QuFZYohcW-w

💰 Looking for an easy way to make extra money online?
Be careful.

Scammers often post fake job opportunities that promise flexible hours, little experience, and quick pay. But what they may really be looking for is a money mule: someone who helps move stolen or illegal funds without realizing they're part of a crime.

Our new investor alert, Money Mules: How an Easy Buck Can Turn You into an Accidental Criminal, explains:

✅ How money mule scams work
✅ Common warning signs to watch for
✅ Steps you can take to protect yourself and your loved ones

The alert also shares a real case investigated by a securities regulator.

Learn more: https://bit.ly/DontBeAMule

NASAA announced today that the waiver of Investment Adviser Registration Depository (IARD) system fees for state-registered investment adviser firms will continue through 2027.

Initial set-up and annual system fees for investment adviser representatives will remain unchanged at $15.

Read the full announcement: https://bit.ly/NASAAIARD2027

Congratulations to Peter Cassidy of the Massachusetts Securities Division, on receiving the NASAA’s Corporation Finance Section Award!

Presented by NASAA President Marni Rock Gibson and NASAA Corporation Finance Section Chair Claire McHenry on Tuesday, September 15 during the Corporation Finance Training in New Orleans, this well‑deserved recognition honors Peter’s outstanding leadership and service to NASAA. 👏

NASAA Urges Senators to Vote NO on the Digital Asset Market Clarity Act

Today, NASAA sent a letter to Senate leadership urging senators to vote NO on the Digital Asset Market Clarity Act.

"NASAA appreciates continued work that has gone into developing the Digital Assets Market Clarity Act (the “CLARITY Act”), including new text published on September 13th. Changes to the CLARITY Act are still needed to ensure robust investor and consumer protections provided in state securities and commodities laws remain in place. Therefore, until such time as the critical issues highlighted below are addressed, Senators should vote NO on the cloture vote on the motion to proceed."

Read the full letter: https://bit.ly/NASAA-ClarityActNO

In 2025, adults 60 and older reported $7.7 billion in losses, with over half coming from investment and romance scams. This number grows every year and signals a disturbing trend, but there are ways to help prevent elder financial exploitation from happening to you or your loved ones.

📌 Never give out personal information or money to someone you don’t know and trust.
📌 Be wary of any unsolicited calls, emails, or letters. Do not commit to anything until you can verify the legitimacy of the person contacting you.
📌 If you’re not sure whether someone is trying to scam you, contact a trusted friend or family member for advice.
📌 Report suspected scams to law enforcement authorities and to the Oklahoma Department of Securities.

Beware of scammers who may impersonate the SEC – or SEC officials or employees – on social media or in text messages to solicit you for fraud.

Learn what to look out for and how to protect yourself:

🔗: https://bit.ly/4xlaQEl