All: Current Headlines

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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NASAA Offers Legislative Agenda for 114th Congress

February 23, 2015–Agenda Highlights Policy Priorities for State Securities Regulators

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NASAA’s Coordinated Review Program Setting New Service Standards

February 12, 2015–NASAA Invites SEC to Examine How the Program Streamlines State Review of Small Business Capital Formation Offerings

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Maine Securities Administrator Outlines Innovative Program to Combat Senior Financial Exploitation

February 4, 2015–In testimony today before the Senate Special Committee on Aging, Maine Securities Administrator Judith Shaw called financial exploitation one of the most serious issues facing seniors and outlined an innovative approach Maine is taking to tackle the problem.

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NASAA Reminds Investors to Discuss Cybersecurity With Their Financial Professionals

January 28, 2015–With an ever-growing list of financial institutions targeted by organized cyber-attacks, NASAA today issued an advisory reminding investors of the importance of understanding how their personal information is being protected by financial firms.

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