Programs

  • IAR Continuing Education Program

    IAR CONTINUING EDUCATION ("IAR CE"): INVESTMENT ADVISER REPRESENTATIVE CONTINUING EDUCATION (IAR CE) IS A PROGRAM MANAGED BY NASAA FOR RELEVANT NASAA MEMBERS THAT REQUIRES ANNUAL CONTINUING EDUCATION REQUIREMENTS AND INFORMATION FOR APPLICABLE INVESTMENT ADVISER REPRESENTATIVES. THE NASAA MEMBERSHIP APPROVED A MODEL RULE THAT HAS SINCE BEEN ADOPTED BY MANY NASAA MEMBERS REQUIRING 12 CREDITS OF APPROVED CE ANNUALLY. THE NASAA CORPORATE OFFICE AND ITS VENDORS MANAGE THE DAILY OPERATIONS OF THE PROGRAM.
    Geographies
    Not indicated
    Dates
    Jan 1, 2024 – Dec 31, 2024
    Source
    990
    No causes provided
    No populations provided
    –
    $2M

  • Securities Regulation Education Activities

    OTHER ACTIVITIES ARE ORGANIZED THROUGHOUT THE YEAR TO PROVIDE EDUCATION AND COLLABORATIVE OPPORTUNITIES TO MEMBERS WHO DEAL WITH SECURITIES REGULATION AND ENFORCEMENT MATTERS. AMONG THESE ACTIVITIES, NASAA ROUTINELY PROVIDES NEW CONTENT FOR SERIES 63, SERIES 65 AND SERIES 66 EXAMINATIONS, WHICH ARE OWNED BY NASAA AND ARE UTILIZED IN THE FINANCIAL SERVICES INDUSTRY.
    Geographies
    Not indicated
    Dates
    Jan 1, 2024 – Dec 31, 2024
    Source
    990
    No causes provided
    No populations provided
    –
    $1.9M

  • Electronic Filing Depository System

    NASAA, UNDER THE LEADERSHIP OF ITS STATE SECURITIES REGULATOR MEMBERS, OPERATES THE ELECTRONIC FILING DEPOSITORY ("EFD"). THE EFD SYSTEM BENEFITS FROM THE OVERSIGHT OF THE NASAA BOARD OF DIRECTORS AND SUBJECT MATTER EXPERTISE FROM THE EFD STEERING COMMITTEE. EFD IS AN INTERNET ACCESSIBLE DATABASE SYSTEM THAT ALLOWS ISSUERS TO SUBMIT REGULATORY FILINGS AND PAY RELATED FEES TO STATE SECURITIES REGULATORS. THE FILINGS THAT CAN BE SUBMITTED THROUGH THE EFD MANAGED FUNCTIONALITY INCLUDE FORM D FOR REGULATION D, RULE 506 FILINGS, FORM NF-UIT FILINGS, FRANCHISE REGISTRATION FILINGS, FORM NF-MUTUAL FUND FILINGS, AS WELL AS OTHER CORPORATE FINANCE FILINGS. EFD ALSO PROVIDES A PUBLIC FACING WEBSITE TO SEARCH AND VIEW, FREE OF CHARGE, FILINGS MADE THROUGH THE SYSTEM TO STATE SECURITIES REGULATORS. THE EFD SYSTEM ALLOWS FILERS AND STATE REGULATORY AGENCIES TO TRANSITION FROM PAPER-BASED FILING SYSTEMS TO AN ELECTRONIC SYSTEM. BY FOSTERING UNIFORMITY IN STATE REGULATORY FILINGS, AND SIMPLIFYING COMMUNICATIONS BETWEEN FILER AND REGULATOR, EFD SERVES ITS MEMBER REGULATORS WITH A MORE EFFICIENT AND EFFECTIVE MEANS TO RECEIVE AND MONITOR SECURITIES FILINGS.
    Geographies
    Not indicated
    Dates
    Jan 1, 2024 – Dec 31, 2024
    Source
    990
    No causes provided
    No populations provided
    –
    $1.9M