NASAA Releases Final IA Switch Report
May 20, 2013–Report documents the largest coordinated event between state and federal securities regulators.
All: Current Headlines
NASAA Files Amicus Brief Supporting FINRA’s Efforts to Reverse Ruling that Allows Schwab to Deny Customer Rights
May 8, 2013–NASAA: Schwab Violated FINRA Rules by Expanding Arbitration Clause to Ban Customers From Participating in Class Actions
It Pays to Understand the Different Roles of Financial Service Providers
Download:INVESTOR ADVISORY: Financial Service Providers WASHINGTON, D.C. (April 30, 2013) – In recognition of Financial Literacy Month, the North American Securities Administrators Association (NASAA) today reminded investors of the importance of understanding the distinctions between the various types of financial professionals. “Whether you are just starting a retirement fund or need additional help with growing [...]
NASAA Statement on Investment Adviser Examination Improvement Act of 2013
April 19, 2013–NASAA Supports Waters-Delaney Investment Adviser Examination Improvement Act of 2013
NASAA Public Policy Conference to Explore New Frontiers of Investor Protection
April 3, 2013–Speakers include Rep. Jim Himes, SEC Chair Elisse Walter and Political Observer James Thurber
NASAA Issues Investor Advisory on Private Placement Offerings
April 2, 2013–In advance of a federal rule to allow advertising of high-risk and potentially fraudulent private placement offerings, NASAA has issued an advisory cautioning investors about the risks these offerings carry.
NASAA to Team With AARP on Webinar
Protect Your Finances: Tips to Avoid Financial Fraud Join AARP and NASAA for a free, online interactive discussion on Tuesday, April 23, 2013, at 2 p.m. as we answer your questions about ensuring the security of your nest egg. We’ll also highlight tips to help you hang on to your hard-earned money, including: Spotting common [...]
NASAA President Delivers Keynote Address at SIFMA Conference
WASHINGTON, D.C. (March 19, 2013) – The lack of civil recovery options for harmed investors is weakening the confidence of investors in financial products and markets, the president of the North American Securities Administrators Association (NASAA) said in a keynote speech delivered today at the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal [...]
NASAA Outlines Legislative Agenda
March 5, 2013–Legislative agenda offers Congress a roadmap to promote sustained investor confidence in U.S. capital markets.
State Securities Regulators to Outline Legislative Priorities for the 113th Congress
Media Advisory: NASAA News Conference The North American Securities Administrators Association (NASAA) will release its 2013 Legislative Agenda, outlining specific legislation it will seek in the 113th Congress to enable policymakers to promote investor confidence in U.S. capital markets by striking the most reasonable balance between advancing capital formation and protecting investors. With a history [...]
