Current Headlines
October 6, 2010
NASAA Announces Continuation of IARD System Fee Waiver
October 6, 2010 - NASAA announced it will waive the initial set-up and annual system fees paid by investment adviser firms and investment representatives to maintain the Investment Adviser Registration Depository (IARD) system.
September 28, 2010
NASAA Launches Online Resource Center to Help IA Firms Prepare to Switch to State Regulation
September 28, 2010 - NASAA launches an online resource to help investment adviser firms prepare to switch from federal to state regulation.
September 28, 2010
David Massey of North Carolina to Lead NASAA
September 28, 2010 - North Carolina Deputy Securities Administrator David S. Massey begins a one-year term as President of NASAA.
September 28, 2010
NASAA Statement on FINRA Arbitration Plan
September 28, 2010 - NASAA issues a statement following FINRA's announcement that it plans to file a rule proposal in October to allow investors filing arbitration claims to have the option of choosing an all-public panel of arbitrators.
September 23, 2010
State Regulators Announce Representatives for the Financial Stability Oversight Council
September 23, 2010 - The organizations representing the nation’s state financial regulators today announced their representatives to serve on the Financial Stability Oversight Council (FSOC).
September 16, 2010
Panelists Announced for NASAA Annual Conference
September 16, 2010 - NASAA announces the lineup of speakers and panels for its upcoming annual conference in Baltimore, Maryland.
September 15, 2010
NASAA Statement on New Survey Showing Near Unanimous Investor Support for Fiduciary Duty Standard of Care
September 15, 2010 - NASAA issues a statement following the release of a survey showing that investors nearly unanimously believe that when they receive investment advice from a financial professional, the person providing the advice should put investor interests ahead of their own.
August 31, 2010
NASAA Urges SEC to Put Investors First in Dodd-Frank Fiduciary Study
August 31, 2010 - NASAA urges the SEC to put investors first by extending the fiduciary duty to all who provide investment advice about securities.
August 13, 2010
NASAA, SEC, FINRA Publish Updated Best Practices for Firms Serving Senior Investors
August 13, 2010 - The SEC, FINRA and NASAA issue an updated joint report that outlines practices being used by financial services firms to strengthen their policies and procedures for serving senior investors as they approach and begin retirement.
August 3, 2010
