NASAA Insight, Spring/Summer 2012

 The Voice of State & Provincial Securities Regulation

Welcome to the NASAA Insight, the quarterly newsletter of the North American Securities Administrators Association, Inc. The NASAA Insight is designed to keep readers informed of recent NASAA activities. 

  Download the Spring/Summer 2012 NASAA Insight

 

 

 

 

 

 

 

 

 

Inside This Issue

  • NASAA to Congress: No SRO for State IAs
  • The Investment Adviser Switch is On
  • Investors Urged to Approach Crowdfunding with Caution
  • New NASAA Task Force Focuses on Online & Crowdfunding Fraud
  • NASAA Member Named to SEC Investor Advisory Committee
  • State Task Force Finds Insurance Firm Acted as Unlicensed BD/IA
  • Waters on IA SRO:  “I Don’t Believe Creating One or More New SROs is the Best Option.”
  • SEC Commissioner Aguilar Praises the Collaborative work of NASAA Members and SEC to Protect Investors
  • JOBS Act Relaxes Investor Safeguards
  • NASAA Outlines Major Flaws in IA SRO Bill
  • NASAA Offers Recommendations to Increase Investor Use of BrokerCheck
  • President’s Message
  • Executive Director’s Message

NASAA Insight Archive

Click here to download past editions of the quarterly NASAA Insight newsletter.

NASAA Insight, Newsroom