All: Current Headlines

NASAA Releases Annual Enforcement Report

September 26, 2017–NASAA President Joseph P. Borg: “State securities regulators continue to serve a critical role in protecting investors and holding securities law violators responsible for the damage they cause to individual investors as well as to the integrity of our capital markets.”

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NASAA Reports Growing Use of Model Fee Disclosure Table

September 26, 2017–NASAA President Joseph P. Borg: “All firms that have taken this important step to help bring uniformity to the disclosure of broker-dealer service and maintenance-related fees are commended and others are encouraged to match this level of disclosure for their clients.”

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Alabama’s Joseph Borg Begins Term as NASAA President

September 26, 2017–Becomes First Administrator Elected to Three Terms as Chief of International Investor Protection Organization

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State Investment Adviser Examinations Uncover Cybersecurity Deficiencies

September 24, 2017–NASAA Also Releases New Cybersecurity Resource for Investment Advisers

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NASAA Cautions Investors to Watch for Scams in Wake of Hurricane Harvey

August 30, 2017–NASAA Also Extends Exam Windows for Candidates Affected by Storm

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Seniors at Risk From Financial Fraud

August 21, 2017–Survey of State Securities Regulators Highlights Seniors as Most Vulnerable and the Need for Better Fraud Detection

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NASAA Annual Conference to Focus on the Financial Services Technology Revolution

August 10, 2017–Securities regulators and industry participants from throughout North America will convene next month in Seattle, Washington, for the North American Securities Administrators Association’s (NASAA) annual conference. Under the theme “The Financial Services Technology Revolution,” the conference will be held September 24-26.

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Cybersecurity Threats to Financial Services Industry, Investors Explored at NASAA Roundtable

June 23, 2017–Rothman: “Cybersecurity is a growing challenge for the securities industry and for securities regulators at all levels,”

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NASAA Announces Agenda and Speakers for Cybersecurity Roundtable

June 16, 2017–NASAA cybersecurity roundtable will bring together leading experts to discuss the latest developments in cybersecurity and how small- and mid-sized investment adviser and broker-dealer firms can help protect critical client information.

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NASAA Study Examines Broker-Dealer Senior Practices and Procedures

June 15, 2017–A new NASAA study released in recognition of World Elder Abuse Awareness Day offers an inside look at the dangers seniors face from financial fraud and exploitation, and broker-dealer procedures to help protect senior clients.

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