NASAA

State securities regulators are on the ground every day—protecting investors, stopping scams, and taking action when fraud strikes. 🎥Watch how state securities regulators protect Main Street investors: 1/2

Are you planning to take a NASAA exam? Our Exams hub can help you understand what to expect. You’ll find key resources together in one place, including exam outlines, study guides, FAQs, and information about exam administration. Start here:

Planning on retiring? Talk with trusted family members to help your decision making and avoid costly mistakes or scams. Explore our conversation starters:

🚨 Moving money for others may seem harmless, but it could make you a target of a money mule scam. Learn the red flags and how to protect yourself:

Financial Planning Month tip: Don't judge a financial professional by their title alone. Check registration. Ask questions. Review disclosures. More info: #FinancialPlanningMonth #InvestorProtection

TODAY: NASAA announces settlement with Wells Fargo and Merrill Lynch over excessive commissions on small-dollar trades. To learn more:

The NASAA Investor Protection and Education Foundation is seeking its first Executive Director! Shape the future of investor protection. Apply now: #Leadership #InvestorEducation

NASAA's 2026 Investment Adviser Section Annual Report highlights resources developed for regulators and investment advisers, along with data on adviser registration across jurisdictions. Read the report: #InvestorProtection #FinancialRegulation

Don't let a title do all the talking. Financial professionals may use titles that sound authoritative, but investors should look beyond the label. Learn what to consider in our investor alert: #investoreducation #NASAA

Not every finfluencer is a financial expert. Learn how to spot red flags, recognize paid promotions, and make informed investment decisions. Our latest investor alert explains more: #investoreducation #NASAA #finfluencer

Congratulations to Elizabeth Bowling, Tennessee’s Assistant Commissioner for Securities, on becoming NASAA President for 2026-2027. President Bowling also announced NASAA’s new Board of Directors. Learn more:

Investment scams have cost investors billions, and fraudsters keep evolving. This #WorldInvestorWeek, learn how to recognize scams, verify claims, and protect your money: #WIW2026 #FraudPrevention #NASAA

Tokenization is reshaping capital markets. At #NASAA2026, our panel, “Tokenized Securities: Reshaping Markets and Regulation?”, will discuss the opportunities and challenges it presents for regulators and investors. Oct. 4-6 in Chicago.

Don't miss NASAA's Prediction Markets panel. Experts will explore regulatory developments, emerging risks, and investor protection considerations in this rapidly evolving space. Oct. 4-6, 2026. Register: #NASAA2026

The NASAA Investor Protection and Education Foundation is seeking its first Executive Director! Shape the future of investor protection. Apply now: #Leadership #InvestorEducation

New episode: Real Life Regulators — The Nest Egg Nabber. NASAA talks with the Washington State Securities Division about a financial adviser who exploited an elderly widow and stole from her nest egg. Listen now:

Be a part of NASAA’s inaugural Regulatory Systems and Services Symposium, Nov. 17–18 in Dallas. Read the release and register:

The biggest conversations in securities regulation are happening next week. Join regulators and industry leaders as they discuss emerging technologies, tokenization, prediction markets, and more. 📅 Oct. 4-6 📍 Chicago + Virtual #NASAA2026

From prevention and detection to reporting and intervention, experts discuss strategies for protecting older investors in NASAA's recorded webinar, Spotlight on Seniors: Navigating the Challenges of Combatting Elder Financial Exploitation. Watch now: 🎥

How can regulators keep pace with innovation while protecting investors? Our #NASAA2026 panel, "Tokenized Securities: Reshaping Markets and Regulation?" explores the future of tokenization and oversight. 🔗

RT @TNCommerceInsur: #TeamTDCI proudly announces that TDCI Assistant Commissioner for the Securities Division Elizabeth Bowling has been elected president of @NASAA! Details: