WASHINGTON, D.C. (May 15, 2012) – The North American Securities Administrators Association (NASAA) today issued an advisory warning investors to approach crowdfunding investment opportunities with great caution. The advisory is on NASAA’s website here. Crowdfunding is an online money-raising strategy that began as a way for the public to donate small amounts of money, often [...]
April 25, 2012 – The nationalization of small and mid-sized investment adviser regulation would be a mistake that neither benefits investors nor promotes small business interests.
April 17, 2012 – NASAA will host its annual Public Policy Conference on May 7 at the Washington Court Hotel.
April 5, 2012 – Congress and the White House have sacrificed investor protection, the North American Securities Administrators Association (NASAA) said today.
April 4, 2012 – NASAA announced that a settlement in principle has been reached between Bankers Life and Casualty Company and state securities regulators concluding an investigation of unlicensed/unregistered brokerage activity by the insurance company.
March 28, 2012 – NASAA assists advisers in making the switch from SEC to state registration with new online IA registration resource.
March 22, 2012 – NASAA calls the JOBS Act a “fundamentally flawed product of a rush to legislate.”
March 22, 2012 – NASAA President Jack E. Herstein issued a statement following the Senate vote on the “Jumpstart Our Business Startups (JOBS)” Act.
March 8, 2012 – Jack E. Herstein, president of the North American Securities Administrators Association and Assistant Director of the Nebraska Banking & Finance Department, Bureau of Securities, issued a statement following today’s vote by the House of Representatives to approve the Jumpstart Our Business Startups (JOBS) Act, H.R. 3606.
February 21, 2012 – NASAA encourages military members and their families to shore up their defenses against investment fraud during Military Saves Week.
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