NASAA Releases Final IA Switch Report
May 20, 2013–Report documents the largest coordinated event between state and federal securities regulators.
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NASAA Files Amicus Brief Supporting FINRA’s Efforts to Reverse Ruling that Allows Schwab to Deny Customer Rights
May 8, 2013–NASAA: Schwab Violated FINRA Rules by Expanding Arbitration Clause to Ban Customers From Participating in Class Actions
It Pays to Understand the Different Roles of Financial Service Providers
Download:INVESTOR ADVISORY: Financial Service Providers WASHINGTON, D.C. (April 30, 2013) – In recognition of Financial Literacy Month, the North American Securities Administrators Association (NASAA) today reminded investors of the importance of understanding the distinctions between the various types of financial professionals. “Whether you are just starting a retirement fund or need additional help with growing [...]
NASAA Statement on Investment Adviser Examination Improvement Act of 2013
April 19, 2013–NASAA Supports Waters-Delaney Investment Adviser Examination Improvement Act of 2013
NASAA President Heath Abshure’s Remarks at NASAA, SEC 19(d) Conference
April 16, 2013Washington, D.C. Good morning and welcome. I’m Heath Abshure, Arkansas Securities Commissioner and president of NASAA. I am pleased to welcome you to the annual 19(d) conference. Representatives of the SEC and NASAA meet each year in accordance with Section 19(d) of the Securities Act of 1933. Although we do get together more [...]
NASAA Public Policy Conference to Explore New Frontiers of Investor Protection
April 3, 2013–Speakers include Rep. Jim Himes, SEC Chair Elisse Walter and Political Observer James Thurber
NASAA Issues Investor Advisory on Private Placement Offerings
April 2, 2013–In advance of a federal rule to allow advertising of high-risk and potentially fraudulent private placement offerings, NASAA has issued an advisory cautioning investors about the risks these offerings carry.
NASAA to Team With AARP on Webinar
Protect Your Finances: Tips to Avoid Financial Fraud Join AARP and NASAA for a free, online interactive discussion on Tuesday, April 23, 2013, at 2 p.m. as we answer your questions about ensuring the security of your nest egg. We’ll also highlight tips to help you hang on to your hard-earned money, including: Spotting common [...]
NASAA President Delivers Keynote Address at SIFMA Conference
WASHINGTON, D.C. (March 19, 2013) – The lack of civil recovery options for harmed investors is weakening the confidence of investors in financial products and markets, the president of the North American Securities Administrators Association (NASAA) said in a keynote speech delivered today at the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal [...]
NASAA President Heath Abshure’s Keynote Address at SIFMA Compliance and Legal Society Annual Meeting
March 19, 2013–NASAA president discusses class-action relief, arbitration and fiduciary duty in keynote address at SIFMA conference in Scottsdale, Arizona.
