Current Headlines
October 24, 2011
State Securities Regulators to Explore Steps to Help Small and New Businesses Raise Investment Capital
October 21, 2011 - NASAA today announced the formation of a committee to examine and propose steps that state securities regulators can take to help small and new businesses raise investment capital.
October 19, 2011
State Securities Regulators Announce Settlement with E*TRADE in Auction Rate Securities Investigations
October 19, 2011 - NASAA today announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008.
October 19, 2011
Report Spotlights Strong Investor Protection Record of State Securities Regulators
October 19, 2011 - NASAA today reported a 51 percent increase in the number of enforcement actions by state securities regulators in 2010, which led to a nearly 200 percent increase in the amount of money ordered returned to investors.
October 12, 2011
NASAA Launches New Website
October 12, 2011 - NASAA's newly redesigned website features improved navigation, a multimedia spotlight area and enhanced search functionality with a clean, modern look.
October 3, 2011
Coordinated State Exams Identify Top Investment Adviser Deficiencies
October 3, 2011 - As state securities regulators prepare to assume increased regulatory oversight of investment advisers managing under $100 million in assets, NASAA released an updated series of recommended best practices that investment advisers should consider to minimize the risk of regulatory violations.
September 21, 2011
Capital Formation Proposals Must Not Weaken Investor Protection
September 21, 2011 - Arkansas Securities Commissioner Heath Abshure outlined the unintended consequences investors could face from legislative efforts to loosen regulations on how new and small businesses raise money.
September 16, 2011
NASAA Announces Continuation of IARD System Fee Waiver
September 16, 2011 - NASAA will waive the initial set-up and annual system fees paid by investment adviser firms (IAs) and investment representatives (IARs) to maintain the Investment Adviser Registration Depository (IARD) system.
September 13, 2011
State Securities Regulators Outline Opposition to Investment Adviser SRO
September 13, 2011 - NASAA outlined its vigorous opposition to the creation of a self-regulatory organization for investment advisers in testimony before the House Subcommittee on Capital Markets and Government Sponsored Enterprises.
September 13, 2011
Jack Herstein of Nebraska to Lead NASAA
September 13, 2011 - Herstein begins a one-year term as president of the oldest international organization devoted to investor protection.
September 7, 2011
