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.

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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. Do I need to pass the Series 63 if I am just taking orders for securities?

    Learn about the requirements for practicing a financial profession. Find out who is required to take the Series 63 exam and ... Read Answer >>
  3. 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 >>
  4. Which version of the Uniform Securities Act should I study to prepare for my Series ...

    Learn more about the Uniform Securities Act and the relationship between the Act and NASAA policies. Find out why NASAA model ... Read Answer >>
  5. 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 >>
  6. 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 >>
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