Current Headlines
September 11, 2014
Working Group Formed to Develop Improved Fee Disclosure
September 11, 2014--Follows NASAA Report Uncovering Wide Disparity of Broker-Dealer Fee Disclosure Practices
September 10, 2014
NASAA Survey Finds Mid-Sized IAs Addressing Cybersecurity Risks
September 10, 2014--Investment Advisers Report Few Security Breaches
August 19, 2014
New NASAA Initiative Focuses on Senior Investor Issues
August 19, 2014--Committee Reflects Long-Standing Role of State and Provincial Securities Regulators to Protect Senior Investors
August 18, 2014
NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today
August 18, 2014--Indianapolis Conference to Explore Diminished Capacity, High-Frequency Trading, and State Efforts to Help Small Businesses Raise Capital
July 28, 2014
NASAA Supports FINRA’s Effort to Reduce Deletion of Customer Complaint Records
July 28, 2014--States Use Data to Screen Broker License Applications for Bad Actors
May 12, 2014
NASAA’s Streamlined Multi-State Coordinated Review Program Now Accepting Applications for Regulation A Offerings
May 12, 2014--Program eases regulatory hurdles to benefit small businesses without sacrificing investor protection.
May 1, 2014
NASAA Calls for Balanced, Sensible Policy Reforms Reflecting ‘Smarter Regulation’ That Does Not Scale Back Investor Protection as New Capital Formation Proposals Emerge
May 1, 2014--State securities regulators concerned about ‘overarching deregulatory nature’ of proposals.
April 29, 2014
NASAA Issues Investor Advisory on Virtual Currency
April 29, 2014--“Unlike traditional currency, these alternatives typically are not backed by tangible assets, are not issued by a governmental authority and are subject to little or no regulation,” said Andrea Seidt, NASAA President and Ohio Securities Commissioner.
April 24, 2014
NASAA Statement Regarding FINRA Decision on Schwab Effort to Curb Investor Rights in Class Actions
April 24, 2014--NASAA: “State securities regulators are pleased that today’s decision by FINRA’s Board of Governors recognizes the danger in Charles Schwab’s attempt to unilaterally change its customer account agreements to force its clients to waive their rights to participate in class-action lawsuits."
April 24, 2014
