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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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States Report Increase in Prison Time for Securities Law Violators

September 29, 2014–Aggressive Enforcement By State Securities Regulators Brings Criminals to Justice

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NASAA Appoints Advisory Council to Work With Regulators on Committee on Senior Issues and Diminished Capacity

September 16, 2014–“We look forward to working closely with an advisory council of experts from government, business, senior advocacy organizations, academia and medical and legal practitioners, as we move forward in this ever increasingly important area of investor protection and service,” said William Beatty, NASAA President and Washington Securities Director.

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Washington’s William Beatty to Lead NASAA

September 16, 2014–Beatty: “I strongly believe in NASAA’s mission to protect retail investors and foster capital formation.”

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Working Group Formed to Develop Improved Fee Disclosure

September 11, 2014–Follows NASAA Report Uncovering Wide Disparity of Broker-Dealer Fee Disclosure Practices

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NASAA Survey Finds Mid-Sized IAs Addressing Cybersecurity Risks

September 10, 2014–Investment Advisers Report Few Security Breaches

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New NASAA Initiative Focuses on Senior Investor Issues

August 19, 2014–Committee Reflects Long-Standing Role of State and Provincial Securities Regulators to Protect Senior Investors

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NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today

August 18, 2014–Indianapolis Conference to Explore Diminished Capacity, High-Frequency Trading, and State Efforts to Help Small Businesses Raise Capital

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NASAA Supports FINRA’s Effort to Reduce Deletion of Customer Complaint Records

July 28, 2014–States Use Data to Screen Broker License Applications for Bad Actors

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