All: Current Headlines

NASAA’s Electronic Filing Depository Reaches Milestone

August 5, 2015–Streamlined Online Filing System Tops 10,000 Filings

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NASAA Supports World Elder Abuse Awareness Day

June 15, 2015–NASAA today recognized World Elder Abuse Awareness Day (WEAAD) by urging all to join in the fight against senior financial exploitation, the crime of the 21st century.

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NASAA Names Joseph Brady as Executive Director

May 26, 2015–“We are very pleased that Joey will be remaining at NASAA as our Executive Director. His NASAA experience, coupled with his state regulatory and private practice experience, give him a unique and valuable perspective on the issues facing NASAA. We are confident that he will hit the ground running as he guides the association through the coming years,” said William Beatty, NASAA President and Washington Securities Director.

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NASAA Statement on Texas Supreme Court Ruling in Life Partners v. Arnold

May 11, 2105–“NASAA appreciates that the Texas Supreme Court agrees with state securities regulators that the life settlement contacts and viaticals, at issue in Life Partners v. Arnold satisfy the definition of an investment contact under the Texas Securities Act, making them securities subject to the Texas Securities Act.”

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NASAA Advisory Shines Light on Broker-Dealer Fees

April 22, 2015–In recognition of Financial Literacy Month, (April 1-30) NASAA issues an advisory to help raise investor awareness about fees charged by broker-dealer firms for services and maintenance of investment accounts.

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Speakers Announced for NASAA Public Policy Conference

April 9, 2015–NASAA announces final lineup of speakers and panelists for its upcoming Public Policy Conference, scheduled for April 14 in Washington, DC.

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NASAA Research Shows Investor Confusion Over Brokerage Fees

April 8, 2015–Poll finds most investors don’t know the cost to service and maintain their brokerage accounts.

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NASAA 2015 Public Policy Conference to Explore Progress Through Innovation

March 27, 2015–SEC Investor Advocate Rick Fleming to Delivery Keynote Address

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NASAA Statement on SEC’s Regulation A Rule

March 25, 2015–Beatty: “We continue to have concerns that the rule does not maintain the important investor protection role of state securities regulators and must look more closely at the final rule as we evaluate our options.”

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NASAA Statement on CFPB Arbitration Study

March 10, 2015–NASAA commends the CFPB and Director Cordray for bringing fresh and relevant research to the debate over the imposition of mandatory arbitration agreements by financial service providers.

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