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Waiver Continues for IARD System Fee for Investment Adviser Firms

November 26, 2018:NASAA Also Announces Exam Enrollment and Form D Filing Fees Will Remain Unchanged

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NASAA Marks Cryptocurrency Anniversary With a Word of Caution

October 31, 2018:NASAA today marked the 10th anniversary of Bitcoin and announced the release of the second in its series of “Get in the Know” videos to raise awareness of the risks of cryptocurrency-related investment products.

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NASAA Releases Annual Enforcement Report

Download: 2018 NASAA Enforcement Report (based on 2017 data) WASHINGTON, D.C. (October 10, 2018) – The North American Securities Administrators Association (NASAA) today released its annual enforcement report, which shows a reversal in a recent trend as more enforcement actions were taken in 2017 against unregistered individuals or firms than registered members of the securities […]

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NASAA Announces Agenda and Speakers for Cybersecurity Roundtable

October 2, 2018: NASAA roundtable to 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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2018 NASAA Presidential Address: Michael Pieciak, Vermont Financial Regulation Commissioner

September 25, 2018: President Michael S. Pieicak’s Inaugural Address at NASAA’s 2018 Annual Meeting in Anchorage, Alaska.

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NASAA Coordinated Examinations Focus on Broker-Dealer Heightened Supervision Plans

September 25, 2018:NASAA released findings of a series of coordinated examinations of broker-dealer firms to survey heightened supervision plans for their registered representatives.

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Vermont’s Michael Pieciak Begins Term as NASAA President

September 25, 2018:Pieciak: “I am honored to lead our association into its second century of service to our members, to the securities industry, and, most importantly, to Main Street investors throughout North America.”

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NASAA: Watch for Scams in Florence’s Wake

September 18, 2018: Borg: “Natural disasters bring out the best and worst in people. While news stemming from Hurricane Florence has rightfully focused on the tireless efforts of first responders and neighbors helping neighbors, we know from experience that financial predators are lurking like snakes in the water to seek profit from the misfortune of others.”

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NASAA Statement on Confirmation of Elad Roisman to Serve on the U.S. Securities and Exchange Commission

September 5, 2018: Borg: “On behalf of state and provincial securities regulators, I am pleased to congratulate Elad Roisman on his confirmation to serve on the SEC. We look forward to working with Commissioner Roisman, his fellow Commissioners Stein, Jackson and Peirce, and Chairman Clayton on our shared goal of protecting retail investors and the integrity of the securities markets they depend upon to secure their financial futures.”

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NASAA Updates Coordinated Crypto Crackdown

August 28, 2018:Borg: “State and provincial securities regulators are committing significant regulatory resources to protect investors from financial harm involving fraudulent ICOs and cryptocurrency-related investment products and also are raising awareness among industry participants of their regulatory responsibilities.”

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