Current Headlines
March 28, 2012
NASAA Offers New Resource to Help Investment Advisers Identify State Registration Requirements
March 28, 2012 - NASAA assists advisers in making the switch from SEC to state registration with new online IA registration resource.
March 22, 2012
NASAA: The JOBS Act an Investor Protection Disaster Waiting to Happen
March 22, 2012 - NASAA calls the JOBS Act a "fundamentally flawed product of a rush to legislate."
March 22, 2012
NASAA Statement on Senate Approval of the JOBS Act
March 22, 2012 - NASAA President Jack E. Herstein issued a statement following the Senate vote on the "Jumpstart Our Business Startups (JOBS)" Act.
March 8, 2012
NASAA Statement on the Jumpstart Our Business Startups (JOBS) Act, H.R. 3606
March 8, 2012 - Jack E. Herstein, president of the North American Securities Administrators Association and Assistant Director of the Nebraska Banking & Finance Department, Bureau of Securities, issued a statement following today’s vote by the House of Representatives to approve the Jumpstart Our Business Startups (JOBS) Act, H.R. 3606.
February 21, 2012
NASAA Marks Military Saves Week by Taking Aim at Fraud Targeting Military Members
February 21, 2012 - NASAA encourages military members and their families to shore up their defenses against investment fraud during Military Saves Week.
February 1, 2012
NASAA Cautions Investors Not to Stumble When Interest Rates Fall Flat
February 1, 2012 - Following the Federal Reserve’s announcement that interest rates are expected to remain low until at least late 2014, NASAA today cautioned investors to beware of risky or outright fraudulent investments promising higher yield or returns.
January 18, 2012
State Securities Regulators Announce Hotline and Website for E*Trade ARS Investors
January 18, 2012 - NASAA announces that a toll-free hotline and website have been established to assist investors who purchased auction rate securities (ARS) through E*TRADE Securities LLC.
December 1, 2011
NASAA: States Best Positioned to Oversee Small Business Capital Formation
December 1, 2011 - NASAA today said states should be the primary regulator of small business capital formation, including crowdfunding offerings.
November 29, 2011
State Securities Regulators Launch Coordinated Review Program for Investment Advisers
November 29, 2011 - NASAA has developed a coordinated review program for investment advisers switching from federal to state securities regulatory oversight as mandated by Dodd-Frank.
November 9, 2011
