All: Current Headlines

Sen. Susan Collins to Deliver Keynote Address at NASAA Public Policy Conference

April 20, 2016–May 16 Conference to Focus on Enforcement and Deterrence in Today’s Financial Markets

Current Headlines, Newsroom Read more

State Securities Regulators Provide Resources to Sharpen Financial Literacy Skills

April 18, 2016–“State securities regulators can help sharpen your financial literacy skills,” said Judith Shaw, NASAA President and Maine Securities Administrator. “An important aspect of becoming financially literate is not only learning how to invest wisely, but also how to avoid investment fraud.”

Current Headlines, Newsroom Read more

NASAA Testimony Calls for Balanced Regulatory Approach to Capital Formation

April 14, 2016–“We have learned that efforts to spur successful capital formation must reflect a balanced regulatory approach that minimizes unnecessary costs and burdens on small businesses while maintaining robust investor protection,” Washington Securities Administrator and chair of NASAA’s Capital Formation Committee William Beatty testified during a hearing before the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises.

Current Headlines, Newsroom Read more

NASAA Statement on Department of Labor Fiduciary Rule

April 6, 2016–“We appreciate that by broadening the application of fiduciary duty, the Department of Labor’s rule raises the standard of care applicable to retirement investors.”

Current Headlines, Newsroom Read more

NASAA Unveils Training Program to Combat Elder Financial Abuse

March 30, 2016–State Securities Regulators to Offer Training to BDs and IAs

Read more

NASAA Members Adopt Model Act to Protect Seniors and Vulnerable Adults

Feb. 1, 2016–Model Act Delivered to Jurisdictions to Pursue as Legislation or Regulation

Read more

NASAA Statement Regarding Patricia Struck

January 7, 2016–“For all that Patty was to NASAA as a leader, a colleague, and a mentor she was first and foremost a friend. Patty always had kind things to say in every situation and we are better for having known her. We miss her greatly.”

Read more

NASAA Announces Top Investor Threats

December 21, 2015–Investors Reminded to Approach Unsolicited Offers with Caution

Read more

NASAA Launches Senior-Focused Website: ServeOurSeniors.org

December 17. 2015–“We are pleased to provide a resource-rich online environment for senior investors and those best positioned to provide for their care, financial security and protection,” said Judith Shaw, NASAA President and Maine Securities Administrator.

Read more

NASAA Cautions Fraud Victims About Third-Party Asset Recovery Companies

December 10, 2015–Firms May Offer Fraud Victims Little More Than False Hope for a Fee

Read more