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February 27, 2024

NASAA Releases 2023 Enforcement Report

NASAA today announced that a taskforce of state securities regulators and the United States Securities and Exchange Commission (SEC) have reached a $3 million settlement with TradeStation Crypto, Inc.(TradeStation) concerning its crypto interest-earning program.
February 7, 2024

NASAA and SEC Announce $3 Million Settlement with TradeStation over Crypto Interest-Earning Program

NASAA today announced that a taskforce of state securities regulators and the United States Securities and Exchange Commission (SEC) have reached a $3 million settlement with TradeStation Crypto, Inc.(TradeStation) concerning its crypto interest-earning program.
January 25, 2024

NASAA Investor Alert: Artificial Intelligence (AI) and Investment Fraud

NASAA and its partners are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Individual investors should know that bad actors are using the growing popularity and complexity of AI to lure victims into scams.
December 22, 2023

NASAA Statement on Confirmation of Mark Uyeda to Serve on the U.S. Securities and Exchange Commission

NASAA released a statement from Claire McHenry, NASAA President and Deputy Director of the Nebraska Department of Banking and Finance Bureau of Securities, on the confirmation by the U.S. Senate of Mark Uyeda to serve on the U.S. Securities and Exchange Commission.
October 31, 2023

NASAA Launches Exam Validity Extension Program for Investment Adviser Representatives

NASAA today announced the launch of the Investment Adviser Representative Exam Validity Extension Program (IAR EVEP).
October 27, 2023

NASAA Announces 2024 Fee Schedule for Investment Adviser Registration Depository System

NASAA today announced the continued waiver of Investment Adviser Registration Depository (IARD) system fees in 2024 for state-registered investment adviser firms, and no change to the initial set-up and annual system fees paid by investment adviser representatives.
October 25, 2023

NASAA Members, CFTC Reach Settlement with Safeguard Metals in $68m Fraud Targeting Elderly Adults

Thirty state regulators and the Commodity Futures Trading Commission (CFTC) announced a settlement with a precious metals dealer and its owner for operating a nationwide $68 million fraudulent scheme targeting elderly and retirement-aged persons. The settlement resolves the federal lawsuit filed in February 2022 in the U.S. District Court for the Central District of California against defendants Safeguard Metals LLC and Jeffrey Ikahn.
October 2, 2023

NASAA Joins with Securities Regulators Around the World During World Investor Week

NASAA joined with the SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), and the Securities Investor Protection Corporation (SIPC), to recognize World Investor Week and highlight educational resources available to investors.
October 2, 2023

NASAA Investor Bulletin: Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023

For World Investor Week 2023, NASAA and its partners offer three tips to increase your resilience as an investor.
September 25, 2023

NASAA Debuts New Resource for Qualification Exams

NASAA announced the release of newly created guides for candidates interested in taking the Series 63, Series 65, and Series 66 qualification examinations.




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