Current Headlines
October 23, 2012
Enforcement Report Details Investor Protection Role of State Securities Regulators
October 23, 2012 – NASAA releases results of annual enforcement survey. NASAA President Heath Abshure says the report "demonstrates that investors continue to rely upon state securities regulators."
October 9, 2012
Investor Advocates and State Securities Regulators Call on SEC to Rethink JOBS Act Rule
October 9, 2012 – In a news teleconference, Arkansas Securities Commissioner and NASAA President Heath Abshure and representatives of the AARP, AFL-CIO and Consumer Federation of America sharply criticized the Securities and Exchange Commission’s first JOBS Act rulemaking and called on the SEC to withdraw its proposal and craft a new rule that promotes capital formation without sacrificing investor protection.
September 24, 2012
NASAA Announces IARD Fee System Waiver for Investment Adviser Firms
September 24, 2012 – NASAA announces the waiver of the Investment Adviser Registration Depository (IARD) system fees for investment adviser firms and the reinstatement of substantially reduced initial set-up and annual system fees paid by investment adviser representatives (IARs). Fees for IAs and IARs have been waived since 2008.
September 11, 2012
A. Heath Abshure of Arkansas to Lead North American Securities Administrators Association
September 11, 2012 – Arkansas Securities Commissioner A. Heath Abshure begins a one-year term as NASAA president; delivers inaugural speech at annual conference.
September 10, 2012
NASAA Launches Native American Investor Outreach Initiative
September 10, 2012 – NASAA launches a new investor outreach initiative to provide investor education resources to Native American and First Nation populations in the United States and Canada.
September 9, 2012
Coordinated Examinations Identify Top BD Compliance Violations
September 9, 2012 – NASAA identifies the top compliance violations and offers a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures.
August 21, 2012
Laws Provide Con Artists with Personal Economic Growth Plan
August 21, 2012 -- NASAA releases its annual list of financial products and practices that threaten to trap unwary investors. New on the list: practices that attempt to exploit new and existing federal laws designed to promote job creation and stimulate economic recovery.
August 9, 2012
NASAA Annual Conference to Focus on Innovation, Investor Protection and the Road to Economic Recovery
August 9, 2012 -- NASAA Annual Conference set for Sept. 9-11 in Coronado, California.
July 25, 2012
NASAA Statement on the Investment Adviser Examination Improvement Act Introduction
July 25, 2012) – NASAA issues statement supporting legislation that would enable the SEC to collect an annual fee from investment advisers subject to inspection or examination by the Commission to defray the cost of inspections and examinations.
July 9, 2012
