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.
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.
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.
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