Skip to main content

Federal/State Cooperation

July 14, 2017

Representatives of SEC staff and state securities regulators frequently meet throughout the year. In addition to these meetings, the SEC and the North American Securities Administrators Association, Inc. (“NASAA”) organize and hold an annual conference pursuant to Section 19(d) of the Securities Act of 1933 for representatives of the SEC and state securities regulators. The SEC and NASAA have also entered into the following agreements and initiatives to strengthen collaboration among state and federal securities regulators.