North American Securities Administrators Association
E130443
The North American Securities Administrators Association (NASAA) is a voluntary organization of state, provincial, and territorial securities regulators in the United States, Canada, and Mexico that works to protect investors and oversee the securities industry at the local level.
All labels observed (1)
| Label | Occurrences |
|---|---|
| North American Securities Administrators Association canonical | 2 |
How this entity was disambiguated
This entity first appeared as the object of triple T1140874 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: North American Securities Administrators Association Context triple: [Series 65 exam, sponsoredBy, North American Securities Administrators Association]
-
A.
National Association of Securities Dealers
The National Association of Securities Dealers (NASD) was a self-regulatory organization that oversaw U.S. broker-dealers and securities markets before its regulatory functions were consolidated into the Financial Industry Regulatory Authority (FINRA).
-
B.
International Organization of Securities Commissions
The International Organization of Securities Commissions (IOSCO) is a global standard-setting body that brings together securities regulators from around the world to develop and promote high standards for securities markets and investor protection.
-
C.
Securities and Exchange Commission
The Securities and Exchange Commission is the U.S. federal agency responsible for regulating securities markets, enforcing securities laws, and protecting investors.
-
D.
Investment Adviser Registration Depository
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
-
E.
FINRA
FINRA is a U.S. self-regulatory organization that oversees brokerage firms and exchange markets to protect investors and maintain market integrity.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: North American Securities Administrators Association Target entity description: The North American Securities Administrators Association (NASAA) is a voluntary organization of state, provincial, and territorial securities regulators in the United States, Canada, and Mexico that works to protect investors and oversee the securities industry at the local level.
-
A.
National Association of Securities Dealers
The National Association of Securities Dealers (NASD) was a self-regulatory organization that oversaw U.S. broker-dealers and securities markets before its regulatory functions were consolidated into the Financial Industry Regulatory Authority (FINRA).
-
B.
International Organization of Securities Commissions
The International Organization of Securities Commissions (IOSCO) is a global standard-setting body that brings together securities regulators from around the world to develop and promote high standards for securities markets and investor protection.
-
C.
Securities and Exchange Commission
The Securities and Exchange Commission is the U.S. federal agency responsible for regulating securities markets, enforcing securities laws, and protecting investors.
-
D.
Investment Adviser Registration Depository
The Investment Adviser Registration Depository (IARD) is an electronic filing system operated by FINRA that facilitates the registration, filing, and public disclosure of information about investment advisers in the United States.
-
E.
FINRA
FINRA is a U.S. self-regulatory organization that oversees brokerage firms and exchange markets to protect investors and maintain market integrity.
- F. None of above. chosen
Statements (45)
| Predicate | Object |
|---|---|
| instanceOf |
non-profit organization
ⓘ
securities regulators association ⓘ |
| abbreviation | NASAA ⓘ |
| advocatesFor |
enhanced investor protection standards
ⓘ
strong state securities regulation ⓘ |
| collaboratesWith |
Financial Industry Regulatory Authority
ⓘ
Securities and Exchange Commission ⓘ
surface form:
U.S. Securities and Exchange Commission
|
| coordinates | multi-state enforcement actions ⓘ |
| countryOfHeadquarters |
United States of America
ⓘ
surface form:
United States
|
| develops |
model rules
ⓘ
uniform securities law proposals ⓘ |
| field | securities regulation ⓘ |
| focusesOn | retail investors ⓘ |
| founded | 1919 ⓘ |
| hasCommittee |
Corporation Finance Section
ⓘ
Enforcement Section ⓘ Investor Education Section ⓘ |
| hasJurisdiction |
Canada
ⓘ
Mexico ⓘ United States of America ⓘ
surface form:
United States
|
| hasMember |
provincial securities regulator
ⓘ
state securities regulator ⓘ territorial securities regulator ⓘ |
| headquartersLocation | Washington, D.C. ⓘ |
| issues |
investor alerts
ⓘ
investor education materials ⓘ |
| language | English ⓘ |
| legalForm | voluntary association ⓘ |
| memberType |
provincial securities regulators
ⓘ
state securities regulators ⓘ territorial securities regulators ⓘ |
| organizes |
annual conference
ⓘ
training programs for regulators ⓘ |
| oversees | state-level securities registration ⓘ |
| purpose |
enforcement coordination
ⓘ
investor protection ⓘ securities industry oversight ⓘ securities regulation policy development ⓘ |
| regionServed | North America ⓘ |
| regulates |
broker-dealers at state level
ⓘ
investment advisers at state level ⓘ |
| scope | North America ⓘ |
| sector | financial regulation ⓘ |
| typeOfNonProfit | trade association for regulators ⓘ |
| website | https://www.nasaa.org ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: North American Securities Administrators Association Description of subject: The North American Securities Administrators Association (NASAA) is a voluntary organization of state, provincial, and territorial securities regulators in the United States, Canada, and Mexico that works to protect investors and oversee the securities industry at the local level.
Referenced by (2)
Full triples — surface form annotated when it differs from this entity's canonical label.