December 13, 2010 – NASAA encourages investors to be mindful of the risks of online loan “matchmaking,” which is known as peer-to-peer lending, social lending, person-to-person lending or P2P.
All: 2010 Headlines
October 20, 2010 – NASAA reminds investors to be cautious about jumping onto the gold bandwagon.
October 12, 2010 – Based on coordinated examinations of broker-dealers throughout the United States, NASAA identified the top compliance deficiencies and offered a series of recommended best practices.
October 6, 2010 – NASAA announced it will waive the initial set-up and annual system fees paid by investment adviser firms and investment representatives to maintain the Investment Adviser Registration Depository (IARD) system.
September 28, 2010 – NASAA launches an online resource to help investment adviser firms prepare to switch from federal to state regulation.
September 28, 2010 – North Carolina Deputy Securities Administrator David S. Massey begins a one-year term as President of NASAA.
September 28, 2010 – NASAA issues a statement following FINRA’s announcement that it plans to file a rule proposal in October to allow investors filing arbitration claims to have the option of choosing an all-public panel of arbitrators.
September 23, 2010 – The organizations representing the nation’s state financial regulators today announced their representatives to serve on the Financial Stability Oversight Council (FSOC).
September 16, 2010 – NASAA announces the lineup of speakers and panels for its upcoming annual conference in Baltimore, Maryland.
NASAA Statement on New Survey Showing Near Unanimous Investor Support for Fiduciary Duty Standard of Care
September 15, 2010 – NASAA issues a statement following the release of a survey showing that investors nearly unanimously believe that when they receive investment advice from a financial professional, the person providing the advice should put investor interests ahead of their own.