NASAA members license firms and their agents, investigate violations of state and provincial law, file enforcement actions when appropriate, and educate the public about investment fraud.

• NASAA对其会员公司及其代理人颁发执照，对违犯州/省或地方法律的行为予以调查，并在适当时采取法律措施，同时还就投资欺诈行为对公众进行教育。