Current Headlines
April 21, 2023
NASAA Announces Speakers and Agenda for May 18 “NASAA’s Senior Issues Committee Presents” Webcast
NASAA announces the speakers and agenda for the next “NASAA Senior Issues Committee Presents” webcast. The webcast, scheduled for May 18, 2023 from 2:30 – 4:30 p.m. ET, is complimentary and open to the public.
April 20, 2023
NASAA Highlights Top Investor Threats for 2023
NASAA today released its annual list of top threats to retail investors. This year, the most critical threats include financial scams tied to emerging technologies, marketing tactics designed to play on emotions, and further attempts to capitalize on changes in the economy.
April 19, 2023
NASAA Urges Congress to Prioritize Capital Formation Policies that Protect Investors and Preserve State Authority
NASAA Past President and Maryland Securities Commissioner Melanie Senter Lubin is testifying on Capitol Hill today. She is speaking before the House Financial Services Subcommittee on Capital Markets. Commissioner Lubin will explain the vital role played by state securities regulators in capital formation and describe why Congress’s capital formation agenda would fail to achieve its goals.
April 19, 2023
NASAA Members to Champion Investor Protection on Capitol Hill
NASAA will host its annual “Hill Day” on April 19. State securities regulators will conduct face-to-face meetings with elected officials and their staff, educating them about NASAA, state securities regulators, and their jurisdictions’ work to protect investors and support inclusion and innovation in our capital markets.
April 17, 2023
NASAA Members Admit Guam as a Member and Approve Two Regulatory Proposals
NASAA announced that at a membership meeting today, NASAA members voted to admit Guam’s securities regulator to the association and approved two regulatory proposals.
April 6, 2023
State Securities Regulators Announce $10 Million Settlement with Robinhood for Failing Investors
NASAA today said Robinhood Financial LLC will pay up to $10.2 million in penalties for operational and technical failures that harmed main street investors.
March 21, 2023
NASAA Welcomes New Members To Its Seniors Advisory Committee
NASAA today announced that eight new members have joined the Advisory Committee to the NASAA Senior Issues Committee.
March 8, 2023
NASAA Announces Passing Scores Associated with New Exam Test Specifications
NASAA announced today a planned change to the passing score for its Series 65 examination and updates to the content for the Series 63, Series 65, and Series 66 examinations.
January 19, 2023
NASAA and SEC Announce $45 Million Settlement with Nexo Capital Over Interest-Bearing Accounts
NASAA and the U.S. Securities Exchange Commission (SEC) today jointly announced that a settlement in principle has been reached with Nexo Capital, Inc. (Nexo).
January 19, 2023
