All: Current Headlines

NASAA Members to Offer Resources to Help Investment Professionals Work with Clients Affected by the Opioid Epidemic

June 14, 2019: NASAA today released resources for use by its members to raise awareness of the impact of the opioid epidemic on investment professionals and their clients, especially senior investors. The announcement was made in recognition of World Elder Abuse Awareness Day (June 15).

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NASAA Statement on the SEC’s Regulation Best Interest

June 5, 2019: Statement by NASAA President Michael S. Pieciak regarding the adoption today by the U.S. Securities and Exchange Commission of its Regulation Best Interest, Form CRS, and publication of related proposals.

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NASAA, SEC and FINRA ISSUE SENIOR SAFE ACT FACT SHEET TO HELP PROMOTE GREATER REPORTING OF SUSPECTED SENIOR FINANCIAL EXPLOITATION

May 23, 2019:In recognition of the one-year anniversary of the passage of The Senior Safe Act, NASAA, the SEC and FINRA have issued a fact sheet to help raise awareness among broker-dealers, investment advisers, and transfer agents of the Act and how the Act’s immunity provisions work.

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NASAA Members Adopt Investment Adviser Information Security Model Rule Package

May 20, 2019:“I am pleased that the NASAA membership adopted this information security model rule package, which now is available for individual jurisdictions throughout the United States to implement through regulation,” said Michael S. Pieciak, NASAA President and Vermont Commissioner of Financial Regulation.

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NASAA Statement on The Senior Security Act

April 30, 2019:Statement by NASAA President Michael S. Pieciak, on the House passage of the The Senior Security Act (H.R. 1876), legislation introduced by Rep. Josh Gottheimer (D-NJ) and Trey Hollingsworth (R-IN).

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Speakers Announced for NASAA Public Policy Roundtable

April 30, 2019:Discussions to Focus on Corporate Governance, Enforcement Activity and the Impact
of the U.S.-Mexico-Canada Trade Agreement (USMCA) on the Investment Industry

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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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