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NASAA Releases Annual Enforcement Report

Download: 2018 NASAA Enforcement Report (based on 2017 data) WASHINGTON, D.C. (October 10, 2018) – The North American Securities Administrators Association (NASAA) today released its annual enforcement report, which shows a reversal in a recent trend as more enforcement actions were taken in 2017 against unregistered individuals or firms than registered members of the securities […]

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NASAA Announces Agenda and Speakers for Cybersecurity Roundtable

October 2, 2018: NASAA roundtable to 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 Coordinated Examinations Focus on Broker-Dealer Heightened Supervision Plans

September 25, 2018:NASAA released findings of a series of coordinated examinations of broker-dealer firms to survey heightened supervision plans for their registered representatives.

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Vermont’s Michael Pieciak Begins Term as NASAA President

September 25, 2018:Pieciak: “I am honored to lead our association into its second century of service to our members, to the securities industry, and, most importantly, to Main Street investors throughout North America.”

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NASAA: Watch for Scams in Florence’s Wake

September 18, 2018: Borg: “Natural disasters bring out the best and worst in people. While news stemming from Hurricane Florence has rightfully focused on the tireless efforts of first responders and neighbors helping neighbors, we know from experience that financial predators are lurking like snakes in the water to seek profit from the misfortune of others.”

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NASAA Statement on Confirmation of Elad Roisman to Serve on the U.S. Securities and Exchange Commission

September 5, 2018: Borg: “On behalf of state and provincial securities regulators, I am pleased to congratulate Elad Roisman on his confirmation to serve on the SEC. We look forward to working with Commissioner Roisman, his fellow Commissioners Stein, Jackson and Peirce, and Chairman Clayton on our shared goal of protecting retail investors and the integrity of the securities markets they depend upon to secure their financial futures.”

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NASAA Updates Coordinated Crypto Crackdown

August 28, 2018:Borg: “State and provincial securities regulators are committing significant regulatory resources to protect investors from financial harm involving fraudulent ICOs and cryptocurrency-related investment products and also are raising awareness among industry participants of their regulatory responsibilities.”

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NASAA Comments on SEC’s Regulation Best Interest and Related Rule Proposals

August 27, 2018: NASAA comment letter expresses support for the SEC’s work to raise the standard of care for broker-dealers and encourages the agency to make significant revisions to its April 18 Regulation Best Interest and related proposals (Reg BI) before adopting them in order to best serve the interests of investors.

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State and Provincial Securities Regulators to Convene in Alaska for NASAA Annual Meeting

July 25, 2018: Borg: “Our program for this year’s meeting launches NASAA’s centennial celebration with a cohesive look ahead at the changes and challenges on the horizon for today’s investors, the securities industry and its regulators.”

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NASAA Recognizes World Elder Abuse Awareness Day

June 15, 2018: Warns of Danger Signs of Suspected Abuse by Guardians

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