NASAA

10/09/2026

Don't let a title do all the talking. Financial professionals may use titles that sound authoritative or specialized, but investors should look beyond marketing language to understand who they're working with. Learn how to evaluate qualifications, services, compensation, and regulatory obligations in our investor alert: https://bit.ly/beyond-the-title

10/08/2026

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: https://bit.ly/spot-finfluencer-red-flags

10/06/2026

Please join us in congratulating Elizabeth Bowling, Assistant Commissioner for Securities at the Tennessee Department of Commerce & Insurance, on becoming NASAA's President for 2026-2027.

Bowling assumed the presidency during the 2026 NASAA Fall Annual Meeting in Chicago after serving as President-Elect since her election by NASAA members in 2025. She succeeds Past President Marni Rock Gibson.

At the annual meeting, President Bowling also announced NASAA's 2026-2027 Board of Directors.

Learn more and view the full leadership slate: https://bit.ly/NASAA-New-Leaders-2026

10/05/2026

During World Investor Week 2026, NASAA, FINRA, the U.S. Securities and Exchange Commission, CFTC - U.S. Commodity Futures Trading Commission, National Futures Association and Securities Investor Protection Corporation (SIPC) are highlighting the importance of investor resilience and fraud awareness in a new Investor Bulletin.

🔗 https://bit.ly/WIWInvestorTips

10/02/2026

As securities markets evolve, can regulatory frameworks keep pace with innovation while continuing to protect investors and support fair, efficient markets?

At the 2026 NASAA Annual Meeting, our panel, "Tokenized Securities: Reshaping Markets and Regulation?", will examine how tokenization is transforming capital markets and the challenges and opportunities it presents for regulators and investors.

We look forward to a thoughtful discussion featuring:
🎤 Moderator
• Claire McHenry, Deputy Director, Securities Division, Nebraska Department of Banking and Nebraska Department of Banking & Finance

👥 Panelists
• Hilary Allen, Professor, Washington College of Law, American University
• Ryan Clements, Director, Advanced Research & Knowledge Management, Alberta Securities Commission - ASC
• Jeffrey Davis, Senior Vice President & Senior Deputy General Counsel, Nasdaq, Inc.

📅 October 4-6, 2026
📍 Chicago, Illinois

Register to attend the NASAA 2026 Annual Meeting in person or online:
🔗 https://bit.ly/nasaa2026fall

How should regulators balance innovation and investor protection as tokenized securities become more prevalent in the capital markets?

10/01/2026

Prediction markets are evolving rapidly. But what do these changes mean for investors? 🤔

Join a distinguished panel of experts as they examine the latest regulatory and legal developments, emerging risks, and ways to better protect individuals participating in these markets.

Panel: “Prediction Markets: What Does the Future Hold?”

Moderator: Amanda Senn, Director, Alabama Securities Commission

Panelists:
James Burns, Partner, O’Melveny & Myers LLP
Christy Goldsmith Romero, Distinguished Visitor from Practice, Georgetown University Law Center
Sudhir Jain, Chief Compliance Officer & Head of Regulatory Affairs, Kalshi

📢 Attend this session at the NASAA 2026 Fall Annual Meeting. Register today: https://bit.ly/nasaa2026fall

📅 October 4-6, 2026
📍 Chicago, Illinois

10/01/2026

The NASAA Investor Protection and Education Foundation is seeking its inaugural Executive Director.

This is a rare opportunity to build an organization from the ground up and help shape the future of investor protection and education.

Applications are now open: https://www.nasaa.org/about/careers/

09/29/2026

A new episode of Real Life Regulators is available today.

In The Nest Egg Nabber, NASAA speaks with the Washington State Securities Division about a financial adviser who drained an elderly widow’s savings after gaining her trust.

Before working with a financial professional, check their background — and if something does not feel right, contact your state or provincial securities regulator.

Listen here:

Quickly and easily listen to Real Life Regulators: Financial Fraud for free!

09/28/2026

You’re invited to be part of NASAA’s inaugural Regulatory Systems and Services Symposium. Read the announcement and register for the November 17–18 event in Dallas, Texas: https://bit.ly/NASAA-RSS26

09/28/2026

What should securities professionals be considering right now? 👀

From emerging technologies and tokenization to prediction markets, there’s plenty to discuss.

Join the conversation at the NASAA Fall Annual Meeting, where leaders from across the industry will explore solutions and collaborate on best practices. Secure your spot in Chicago or attend virtually:
https://bit.ly/nasaa2026fall

📅 October 4–6, 2026
📍 Chicago, Illinois