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NASAA Launches Streamlined Electronic Filing Depository

December 15, 2014–EFD Offers Efficiency for Issuers and Improved Transparency for Investors

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NASAA Issues Advisory on Third-Party Custodians of Self-Directed IRAs and Other Qualified Plans

December 1, 2014–“While self-directed IRAs can be a safe way to invest retirement funds, investors should understand that third-party custodians have limited duties to investors,” said William Beatty, NASAA President and Washington Securities Director.

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NASAA Urges Investors to Approach High-Yield Investment Programs With Caution

November 20, 2014–High-yield investment programs, or HYIPs, are Ponzi schemes sold by unlicensed individuals.

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New Products in Classic Schemes Identified as Top Investor Threats

November 12, 2014–“Many of the top threats facing investors involve new products in classic schemes,” said William Beatty, NASAA President and Washington Securities Director. “Regulators are seeing classic threats to investors morph into new or altered dangers, many fueled by the Internet. Overarching all of these threats are unlicensed agents selling unregistered products to unsuspecting investors.”

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States Report Rise in Enforcement Actions Against Licensed Broker Sales Agents

November 4, 2014–Enforcement Report Shows Unlicensed Individuals, Firms Continue as Greatest Source of State Enforcement Actions

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NASAA Cautions Investors to Guard Against Ebola-Related Scams

October 29, 2014–NASAA Task Force Monitoring Internet for Fraud Following Outbreak of Ebola-Related Website Names

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A Presidential Conversation: William Beatty and Andrea Seidt

September 16, 2014–An adaptation of remarks given at NASAA’s Annual Conference on September 16, 2014 by William Beatty, NASAA President and Washington Securities Director, and Andrea Seidt, NASAA Past President and Ohio Securities Commissioner.

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NASAA Insight, Fall 2014

Click here to download the Fall, 2014 edition What’s Inside: William Beatty Elected NASAA President NASAA Launches Initiative Focusing on Seniors President’s Message States See Increase in Prison Sentences for Securities Law Violators NASAA Working Toward Improved Fee Disclosure Survey Explores IA Cybersecurity Risk A Presidential Conversation Annual Conference Photo Gallery NASAA Recognizes Accomplishments of […]

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IARD System Fee Waiver Announced for Investment Adviser Firms

October 20, 2014–NASAA Continues Reduced System Fees for Investment Adviser Representatives

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NASAA Statement on PIABA Arbitration Study

October 8, 2014–“NASAA has consistently raised concerns about the mandatory predispute resolution process and the report issued by PIABA notes additional important issues related to arbitrator disclosure and transparency that merit further review. NASAA continues to support the Investor Choice Act, introduced by Rep. Keith Ellison (D-MN) and supported by 30 House members, which would provide investors an opportunity to seek resolution of their claims through the court system.”

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