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NASAA Announces Current and Emerging Investor Threats

December 13, 2017–Promissory Notes, Real Estate Investments and Ponzi Schemes Top the List; ICO’s and Cryptocurrency CFDs Identified as Emerging Threat

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NASAA 2018 Fee Announcement

November 1, 2017–Waiver Continues for IARD System Fee for Investment Adviser Firms; Modest Increases Set for Exam Enrollment & Form D Filing Fees

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NASAA Spotlights Warning Signs of Guardian Financial Abuse

October 30, 2017–NASAA President Joseph P. Borg: “Through this resource, we hope to help focus attention on the warning signs of suspected guardian financial abuse.”

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NASAA Releases Annual Enforcement Report

September 26, 2017–NASAA President Joseph P. Borg: “State securities regulators continue to serve a critical role in protecting investors and holding securities law violators responsible for the damage they cause to individual investors as well as to the integrity of our capital markets.”

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NASAA Reports Growing Use of Model Fee Disclosure Table

September 26, 2017–NASAA President Joseph P. Borg: “All firms that have taken this important step to help bring uniformity to the disclosure of broker-dealer service and maintenance-related fees are commended and others are encouraged to match this level of disclosure for their clients.”

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Alabama’s Joseph Borg Begins Term as NASAA President

September 26, 2017–Becomes First Administrator Elected to Three Terms as Chief of International Investor Protection Organization

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2017 Presidential Address: Joseph P. Borg, Alabama Securities Commission Director

September 26, 2017–NASAA President Joseph P. Borg’s Inaugural Address at NASAA’s 2017 Annual Conference in Seattle, Washington.

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State Investment Adviser Examinations Uncover Cybersecurity Deficiencies

September 24, 2017–NASAA Also Releases New Cybersecurity Resource for Investment Advisers

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NASAA Cautions Investors to Watch for Scams in Wake of Hurricane Harvey

August 30, 2017–NASAA Also Extends Exam Windows for Candidates Affected by Storm

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Seniors at Risk From Financial Fraud

August 21, 2017–Survey of State Securities Regulators Highlights Seniors as Most Vulnerable and the Need for Better Fraud Detection

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