10.1.3. North American Securities Administrators Association (NASAA)
The North American Securities Administrators Association (NASAA) is an association of securities administrators from the states, territories, and provinces of the U.S., Canada, and Mexico. Its purpose is to protect investors. The NASAA investigates violations of state law, files enforcement actions when appropriate, and educates the public about investment fraud. The NASAA also creates model rules that investment advisers and broker-dealers are required to follow.
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SUMMARY: Self-Regulatory Organizations (SROs) |
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SRO |
Jurisdiction |
Enforcement Authority |
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FINRA |
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