All: Current Headlines

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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NASAA to Convene Cybersecurity Roundtable

May 31, 2017–Rothman: “Cyberattacks continue to be one of the greatest threats to our financial sector.”

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NASAA Reports More Firms Using Model Fee Table

May 9, 2017–Rothman: “This collaborative initiative between regulators and industry helps increase the transparency of fee disclosure for investors.”

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NASAA Conference to Focus on Investor Protection & Market Confidence

May 1, 2017–Rothman: “This year’s conference will help us stay on the forefront of securities regulation, capital formation, investor protection and key public policy for state and provincial regulators as we chart a course for the future amid a sea of change.”

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NASAA Urges Congress to Remember Lessons Learned From Financial Crisis Before Weakening Investor Protections Through Financial CHOICE Act

April 28, 2017–In testimony before the House Committee on Financial Services, the North American Securities Administrators Association (NASAA) today urged Congress to remember the lessons learned from the financial crisis of 2008 as it considers provisions in the Financial CHOICE Act that will weaken critical investor protections.

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NASAA Says Financial CHOICE Act Would Reverse Critical Investor Protections, Sending Regulatory Policies in “Wrong Direction”

April 26, 2016–Rothman: “It is clearly evident that the changes contemplated by the bill would significantly undermine and compromise the ability of regulators to effectively enforce financial laws and regulations.”

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NASAA Announces Second Senior$afe Training Week

April 25, 2107–Rothman: “NASAA’s Senior$afe training program is an essential resource for investment services providers who are uniquely positioned to help protect seniors and identify financial abuse.”

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