North American Securities Administrators Association - NASAA

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.

BREAKING DOWN '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. Series 63

    A securities license entitling the holder to solicit orders for ...
  2. Canadian Securities Administrators ...

    A collective forum composed of all the provincial and territorial ...
  3. Uniform Securities Act

    An act created as a starting point for state-level securities ...
  4. Covered Security

    A class of securities, created by the National Securities Market ...
  5. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  6. SEC RW Filing

    This filing is made by companies which have already filed to ...
Related Articles
  1. Investing

    Series 63, Series 65 Or Series 66?

    When joining the world of investment professionals, you must take the right exams.
  2. Professionals

    Succeeding At The Series 63 Exam

    Your career as a securities agent begins with this test. We'll show you how to score high.
  3. Investing

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  4. Financial Advisor

    Breaking Down Financial Securities Licenses

    Find out which exam you need to begin your career as an investment professional.
  5. Personal Finance

    Beach Property in Puerto Rico: The Pros & Cons

    Learn these important tips for buying a beach condo in Puerto Rico. You need to have a buyer's agent and an attorney to represent your interests.
  6. Retirement

    5 Reasons Americans Retire in Puerto Rico

    Puerto Rico’s unique status as a U.S. territory can make it particularly attractive to Americans.
  7. Markets

    Understanding the SEC

    The SEC's triple mandate of investor protection, maintenance of orderly markets and facilitation of capital formation makes it a vital player in capital markets.
  8. Markets

    How Did Puerto Rico End Up With So Much Debt ?

    Learn how heavy bond issuance, economic decline, oppressive social spending and a declining population combined to bring about Puerto Rico's debt crisis.
  9. Markets

    Investigating The Securities Police

    Learn about the history of FINRA and how this organization protects investors.
  10. Retirement

    Retiring in Puerto Rico: The Pros and Cons

    Puerto Rico is a popular retirement spot for those seeking new experiences and a better climate while staying close to home. Here are some pros and cons.
RELATED FAQS
  1. Where do I take the Series 63 examination?

    Find out where to take the Series 63 examination for securities agents, and learn more details about the test's purpose and ... Read Answer >>
  2. What are my options if I fail my Series 63 exam?

    Find out what options are available to a person who has failed the Series 63 exam, a test that many states require for licensing ... Read Answer >>
  3. Do I need a class to take the Series 63 exam?

    Learn more about the educational requirements for the Series 63 and what candidates should study. Find out more about NASAA ... Read Answer >>
  4. Are series 63 exams given outside of the United States?

    Learn more about the series 63 exam, and find out about testing locations and citizenship requirements. Discover which materials ... Read Answer >>
  5. What is the best way to study for the series 63 exam?

    Learn more about the content of the series 63 exam and how candidates should prepare for the test. Find out about potential ... Read Answer >>
  6. Is my Series 63 registration transferable to another state?

    If you are moving to another state, the NASAA indicates that your Series 63 can be transferred. Note that you must become ... Read Answer >>
Hot Definitions
  1. Glass-Steagall Act

    An act the U.S. Congress passed in 1933 as the Banking Act, which prohibited commercial banks from participating in the investment ...
  2. Quantitative Trading

    Trading strategies based on quantitative analysis which rely on mathematical computations and number crunching to identify ...
  3. Bond Ladder

    A portfolio of fixed-income securities in which each security has a significantly different maturity date. The purpose of ...
  4. Duration

    A measure of the sensitivity of the price (the value of principal) of a fixed-income investment to a change in interest rates. ...
  5. Dove

    An economic policy advisor who promotes monetary policies that involve the maintenance of low interest rates, believing that ...
  6. Cyclical Stock

    An equity security whose price is affected by ups and downs in the overall economy. Cyclical stocks typically relate to companies ...
Trading Center