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NASAA Announces Agenda and Speakers for Cybersecurity Roundtable

June 16, 2017–NASAA cybersecurity roundtable will bring together leading experts to discuss the latest developments in cybersecurity and how small- and mid-sized investment adviser and broker-dealer firms can help protect critical client information.

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NASAA Study Examines Broker-Dealer Senior Practices and Procedures

June 15, 2017–A new NASAA study released in recognition of World Elder Abuse Awareness Day offers an inside look at the dangers seniors face from financial fraud and exploitation, and broker-dealer procedures to help protect senior clients.

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NASAA to Convene Cybersecurity Roundtable

May 31, 2017–Rothman: “Cyberattacks continue to be one of the greatest threats to our financial sector.”

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2017 Spring Edition of NASAA Insight Available Now

The Spring 2017 edition of the NASAA Insight newsletter is available on the NASAA website, here. This edition features NASAA’s legislative priorities for the 115th Congress, NASAA’s testimony about the Financial CHOICE Act, the NASAA-SEC MOU regarding information sharing, and offers a new feature focusing on enforcement-related issues of interest to NASAA members. Print | PDF […]

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Remarks of NASAA President Mike Rothman Delivered to NASAA 2017 Public Policy Conference

May 9, 2017–Delivered via Skype to NASAA’s Public Policy Conference in Washington, D.C.

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NASAA Reports More Firms Using Model Fee Table

May 9, 2017–Rothman: “This collaborative initiative between regulators and industry helps increase the transparency of fee disclosure for investors.”

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NASAA Conference to Focus on Investor Protection & Market Confidence

May 1, 2017–Rothman: “This year’s conference will help us stay on the forefront of securities regulation, capital formation, investor protection and key public policy for state and provincial regulators as we chart a course for the future amid a sea of change.”

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NASAA Urges Congress to Remember Lessons Learned From Financial Crisis Before Weakening Investor Protections Through Financial CHOICE Act

April 28, 2017–In testimony before the House Committee on Financial Services, the North American Securities Administrators Association (NASAA) today urged Congress to remember the lessons learned from the financial crisis of 2008 as it considers provisions in the Financial CHOICE Act that will weaken critical investor protections.

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NASAA Says Financial CHOICE Act Would Reverse Critical Investor Protections, Sending Regulatory Policies in “Wrong Direction”

April 26, 2016–Rothman: “It is clearly evident that the changes contemplated by the bill would significantly undermine and compromise the ability of regulators to effectively enforce financial laws and regulations.”

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NASAA Announces Second Senior$afe Training Week

April 25, 2107–Rothman: “NASAA’s Senior$afe training program is an essential resource for investment services providers who are uniquely positioned to help protect seniors and identify financial abuse.”

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