All: Current Headlines

NASAA Launches Streamlined Electronic Filing Depository

December 15, 2014–EFD Offers Efficiency for Issuers and Improved Transparency for Investors

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NASAA Issues Advisory on Third-Party Custodians of Self-Directed IRAs and Other Qualified Plans

December 1, 2014–“While self-directed IRAs can be a safe way to invest retirement funds, investors should understand that third-party custodians have limited duties to investors,” said William Beatty, NASAA President and Washington Securities Director.

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NASAA Urges Investors to Approach High-Yield Investment Programs With Caution

November 20, 2014–High-yield investment programs, or HYIPs, are Ponzi schemes sold by unlicensed individuals.

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New Products in Classic Schemes Identified as Top Investor Threats

November 12, 2014–“Many of the top threats facing investors involve new products in classic schemes,” said William Beatty, NASAA President and Washington Securities Director. “Regulators are seeing classic threats to investors morph into new or altered dangers, many fueled by the Internet. Overarching all of these threats are unlicensed agents selling unregistered products to unsuspecting investors.”

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States Report Rise in Enforcement Actions Against Licensed Broker Sales Agents

November 4, 2014–Enforcement Report Shows Unlicensed Individuals, Firms Continue as Greatest Source of State Enforcement Actions

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NASAA Cautions Investors to Guard Against Ebola-Related Scams

October 29, 2014–NASAA Task Force Monitoring Internet for Fraud Following Outbreak of Ebola-Related Website Names

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IARD System Fee Waiver Announced for Investment Adviser Firms

October 20, 2014–NASAA Continues Reduced System Fees for Investment Adviser Representatives

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NASAA Statement on PIABA Arbitration Study

October 8, 2014–“NASAA has consistently raised concerns about the mandatory predispute resolution process and the report issued by PIABA notes additional important issues related to arbitrator disclosure and transparency that merit further review. NASAA continues to support the Investor Choice Act, introduced by Rep. Keith Ellison (D-MN) and supported by 30 House members, which would provide investors an opportunity to seek resolution of their claims through the court system.”

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States Report Increase in Prison Time for Securities Law Violators

September 29, 2014–Aggressive Enforcement By State Securities Regulators Brings Criminals to Justice

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NASAA Appoints Advisory Council to Work With Regulators on Committee on Senior Issues and Diminished Capacity

September 16, 2014–“We look forward to working closely with an advisory council of experts from government, business, senior advocacy organizations, academia and medical and legal practitioners, as we move forward in this ever increasingly important area of investor protection and service,” said William Beatty, NASAA President and Washington Securities Director.

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