May 26, 2015–“We are very pleased that Joey will be remaining at NASAA as our Executive Director. His NASAA experience, coupled with his state regulatory and private practice experience, give him a unique and valuable perspective on the issues facing NASAA. We are confident that he will hit the ground running as he guides the association through the coming years,” said William Beatty, NASAA President and Washington Securities Director.
May 11, 2105–“NASAA appreciates that the Texas Supreme Court agrees with state securities regulators that the life settlement contacts and viaticals, at issue in Life Partners v. Arnold satisfy the definition of an investment contact under the Texas Securities Act, making them securities subject to the Texas Securities Act.”
The Spring edition of the NASAA Insight newsletter is available online. Among other topics, this edition spotlights NASAA’s: Legislative Agenda Public Policy Conference, and Broker-Dealer Fee Survey The newsletter is available online here.
April 22, 2015–In recognition of Financial Literacy Month, (April 1-30) NASAA issues an advisory to help raise investor awareness about fees charged by broker-dealer firms for services and maintenance of investment accounts.
April 9, 2015–NASAA announces final lineup of speakers and panelists for its upcoming Public Policy Conference, scheduled for April 14 in Washington, DC.
April 8, 2015–Poll finds most investors don’t know the cost to service and maintain their brokerage accounts.
March 27, 2015–SEC Investor Advocate Rick Fleming to Delivery Keynote Address
March 25, 2015–Beatty: “We continue to have concerns that the rule does not maintain the important investor protection role of state securities regulators and must look more closely at the final rule as we evaluate our options.”
March 10, 2015–NASAA commends the CFPB and Director Cordray for bringing fresh and relevant research to the debate over the imposition of mandatory arbitration agreements by financial service providers.
February 23, 2015–Agenda Highlights Policy Priorities for State Securities Regulators