Current Headlines
June 15, 2023
NASAA Marks World Elder Abuse Awareness Day 2023
In recognition of World Elder Abuse Awareness Day on June 15, NASAA reminds financial professionals and the public to be on the lookout for signs of elder financial abuse, including potential exploitation and scams. To help protect senior investors, NASAA and its members recommend investors provide the name of someone they trust as a contact on their investment accounts.
May 30, 2023
North American Securities Administrators Association Statement on the Aftermath of Typhoon Mawar and Its Impact on Guam
The NASAA Corporate Office has issued a statement related to the impact of Typhoon Mawar on the island of Guam.
May 24, 2023
NASAA Celebrates the Five-Year Anniversary of the Senior Safe Act
NASAA proudly celebrates the five-year anniversary of the Senior Safe Act, an important tool in the ongoing fight against senior financial exploitation.
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
