North American Securities Administrators Association

The inaugural NASAA Regulatory Systems & Services (RSS) Symposium is a training event designed for industry and financial services professionals and state regulators who utilize NASAA's tools and systems. It will bring together state regulators, industry members, and NASAA Corporate Office staff to explore the latest regulatory developments, share best practices, discuss system functionality, and strengthen collaboration across the securities landscape. Topics will include common state concerns when reviewing Form U4s and Form ADVs, best practices for filing through the Electronic Filing Depository (EFD), and emerging issues affecting registration, licensing, and compliance. Select sessions are expected to offer Investment Adviser Representative Continuing Education (IAR CE) credit, providing added value for professionals working to meet year-end education requirements.