SIE: 10.1.3. North American Securities Administrators Association (NASAA)

Taken from our SIE Online Guide

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.

SUMMARY: Self-Regulatory Organizations (SROs)
SRO	Jurisdiction	Enforcement Authority
FINRA	• Regulates the activities of broker-dealers and their employees who solicit or conduct business in investment banking or the securities industry or manage employees who do

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