August 4, 2011 – NASAA’s Annual Conference (September 11-13 in Kansas) will focus on the past, present and future of securities regulation.
June 15, 2011 NASAA raises concerns about H.R. 1070 and H.R. 1082.
September 28, 2010 – “This legislation clearly is going to restructure relationships among regulators. We have an opportunity to strengthen these relationships and to engage in productive discussions about how our shared responsibilities can better protect investors.” – David S. Massey
By signing the Dodd-Frank Wall Street Reform and Consumer Protection Act into law, President Obama set in motion a change for many mid-sized investment adviser firms.