Current Headlines
December 10, 2015
NASAA Cautions Fraud Victims About Third-Party Asset Recovery Companies
December 10, 2015--Firms May Offer Fraud Victims Little More Than False Hope for a Fee
November 9, 2015
NASAA Cautions Investors About ‘The Next Big Thing’
November 9, 2015--Spotlight on Marijuana-related Investments, Binary Options, and Digital Currency
November 3, 2015
IARD System Fee Waiver Announced for Investment Adviser Firms
November 3, 2015--NASAA Continues Reduced System Fees for Investment Adviser Representatives
October 30, 2015
NASAA Statement Regarding Announced Retirement Plans of FINRA Chairman Richard Ketchum
October 30, 2015--“NASAA has enjoyed a good working relationship with Rick and wish him well. We look forward to working with him until his successor is in place.”
October 30, 2015
NASAA Statement on SEC Crowdfunding Rule and Proposed Rule 147 and Rule 504 Amendments
October 30, 2015--“Any initiative to develop new or expand existing capital formation tools must include significant and meaningful investor protections."
October 29, 2015
NASAA Applauds Sens. Collins and McCaskill on the Introduction of their Bipartisan ‘Senior$afe Act of 2015’
October 29, 2015--NASAA President Judith Shaw: "On behalf of NASAA, I want to commend Senators Collins and McCaskill on their efforts to shine a light on the critical problem of senior financial exploitation."
October 22, 2015
Maryland Securities Commissioner Lubin To Represent NASAA on Financial Stability Oversight Council
October 22, 2015--NASAA announces the appointment of Maryland Securities Commissioner Melanie Senter Lubin to represent state securities regulators on the Financial Stability Oversight Council (FSOC).
October 13, 2015
NASAA Names New General Counsel
October 13, 2015--A. Valerie Mirko Promoted to Top Legal Post
September 29, 2015
NASAA Board Approves Release for Comment of Proposed Model Act to Protect Vulnerable Adults from Financial Exploitation
September 29, 2015--“Working together we can and will close the holes in our safety net of support and protection for vulnerable adult investors,” said Judith Shaw, NASAA President and Maine Securities Administrator.
September 29, 2015
