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NASAA Testifies at Congressional Hearing on Proposals to Put Main Street Investor Interests First

April 3, 2019:“NASAA applauds the Subcommittee on its decision to hold its initial hearings of the 116th Congress on proposals that explicitly place the interest of Main Street investors first,” Maryland Securities Commissioner and NASAA Board member Melanie Lubin testified before the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, chaired by Rep. Carolyn Maloney (D-NY).

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NASAA Joins States in Promoting Financial Capability Month

April 2, 2019:NASAA today announced its support of Financial Capability Month, a nationwide investor awareness initiative that invites people to improve their understanding of financial principles and best practices. Members of NASAA include state and provincial securities regulators throughout North America. As part of the initiative, NASAA released the first of its Millennial Moment videos.

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NASAA’s Electronic Filing Depository Functionality Expanded

March 12, 2019:System Now Accepts Notice Filings for Unit Investment Trusts

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NASAA Offers Legislative Agenda for 116th Congress

March 5, 2019:NASAA today released its legislative agenda for the 116th Congress, which advocates for bipartisan policymaking that puts the interests of America’s retail investors first and ensures our nation’s securities and financial markets remain vibrant and secure in the 21st century.

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NASAA Launches Centennial Anniversary and Announces Public Policy Roundtable

February 27, 2019:NASAA is commemorating its 100th anniversary this year with a series of events, including highlighting this important milestone at its May 20 Public Policy Roundtable in Washington, DC.

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NASAA Promotes Millennial Financial Awareness During America Saves Week

WASHINGTON, DC, February 25, 2019 –The North American Securities Administrators Association (NASAA) encourages Millennials to focus on the importance of investing and protecting their investments in recognition of America Saves Week and Military Saves Week, national campaigns to encourage people to save and invest for their financial future. As part of this outreach, NASAA is […]

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State Securities Regulators Unaffected by Partial Shutdown of Federal Government and Available to Provide Investor Assistance

WASHINGTON, DC, January 14, 2019 –The North American Securities Administrators Association (NASAA) today reminded investors that state securities regulators are unaffected by the partial shutdown of the federal government and available to provide information and assistance. “State securities regulators have a long-standing relationship of cooperation and collaboration with federal securities regulators,” said Michael Pieciak, NASAA […]

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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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