North American Securities Administrators Association - NASAA

AAA

DEFINITION of 'North American Securities Administrators Association - NASAA'

A voluntary organization, established in 1919, of securities regulators whose aim is to protect investors who buy securities or investment advice by educating the public, investigating violations of state and provincial law and filing enforcement actions. Membership includes securities regulators from all 50 U.S. states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada and Mexico.

INVESTOPEDIA EXPLAINS 'North American Securities Administrators Association - NASAA'

NASAA also administers the Series 63, 65 and 66 examinations, which licenses finance professionals to function as an agent . In most States, the Series 63 is a requirement for securities agents.

RELATED TERMS
  1. National Association Of Securities ...

    The NASD was a self-regulatory organization of the securities ...
  2. Series 63

    A securities license entitling the holder to solicit orders for ...
  3. Series 65

    A securities license required by most U.S. states for individuals ...
  4. Series 66

    An exam administered by the Financial Industry Regulatory Authority ...
  5. Volcker Rule

    The Volcker rule separates investment banking, private equity ...
  6. Environmental, Social And Governance ...

    A set of standards for a company’s operations that socially ...
Related Articles
  1. Succeeding At The Series 63 Exam
    Professionals

    Succeeding At The Series 63 Exam

  2. Series 63, Series 65 Or Series 66?
    Options & Futures

    Series 63, Series 65 Or Series 66?

  3. 401(k) Predators: Don't Become Prey
    Retirement

    401(k) Predators: Don't Become Prey

  4. Can a church issue a bond?
    Investing

    Can a church issue a bond?

comments powered by Disqus
Hot Definitions
  1. Effective Annual Interest Rate

    An investment's annual rate of interest when compounding occurs more often than once a year. Calculated as the following: ...
  2. Debit Spread

    Two options with different market prices that an investor trades on the same underlying security. The higher priced option ...
  3. Odious Debt

    Money borrowed by one country from another country and then misappropriated by national rulers. A nation's debt becomes odious ...
  4. Takeover

    A corporate action where an acquiring company makes a bid for an acquiree. If the target company is publicly traded, the ...
  5. Harvest Strategy

    A strategy in which investment in a particular line of business is reduced or eliminated because the revenue brought in by ...
  6. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
Trading Center