April 24, 2014–NASAA: “State securities regulators are pleased that today’s decision by FINRA’s Board of Governors recognizes the danger in Charles Schwab’s attempt to unilaterally change its customer account agreements to force its clients to waive their rights to participate in class-action lawsuits.”
All: Current Headlines
April 24, 2014–NASAA seeks to help industry develop model fee disclosure to help investors compare costs for services.
April 23, 2014–Model consumer guidance is designed to assist state regulatory agencies in providing consumers with information about virtual currency as well as what factors consumers should consider when transacting with or investing in virtual currencies.
April 8, 2014–NASAA announces that nearly all U.S. NASAA members have officially signed a Memorandum of Understanding demonstrating their agreement to participate in NASAA’s new Coordinated Review Program for Regulation A Offerings.
March 25, 2014–NASAA: Proposed Rule Flouts Congressional Intent by Preempting State Authority
NASAA Public Policy Conference to Explore Challenges to Forecasting Markets and Investor Participation
March 20, 2014–Featured Speakers include SEC Commissioner Kara Stein and Sen. Joe Manchin; Panels to Focus on Bitcoins and How to Bring Main Street Investors Back to Wall Street
March 11, 2014–States Call on SEC to Allow Small Businesses to Benefit from the Program by Removing Preemptive Language from Regulation A Proposed Rule
February 20, 2014–NASAA Leadership Letter to SEC Objecting to State Preemption of Reg A+ Offerings
WASHINGTON, D.C. (February 12, 2014) – The North American Securities Administrators Association (NASAA) today congratulated NASAA Deputy General Counsel Rick A. Fleming on his appointment as the Securities and Exchange Commission’s new Investor Advocate. Fleming becomes the first person to lead the SEC’s Office of the Investor Advocate, which was created by the Dodd-Frank Wall […]
December 18, 2013–NASAA: :The Commission’s proposed rule ignores Congress’ recent judgment and defies Congress’ clear intent. As a policy matter, it is not clear why the Commission would remove state oversight in a high-risk area where both federal and state resources should be fully leveraged to provide sufficient, regular review.”