All: 2010 Headlines

NASAA Helps Investors Assess Risks of Peer-to-Peer Lending

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.

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NASAA Cautions Investors Mining for Golden Opportunities

October 20, 2010 – NASAA reminds investors to be cautious about jumping onto the gold bandwagon.

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NASAA Identifies Top Broker-Dealer Compliance Deficiencies

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.

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NASAA Announces Continuation of IARD System Fee Waiver

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.

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NASAA Launches Online Resource Center to Help IA Firms Prepare to Switch to State Regulation

September 28, 2010 – NASAA launches an online resource to help investment adviser firms prepare to switch from federal to state regulation.

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David Massey of North Carolina to Lead NASAA

September 28, 2010 – North Carolina Deputy Securities Administrator David S. Massey begins a one-year term as President of NASAA.

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NASAA Statement on FINRA Arbitration Plan

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.

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State Regulators Announce Representatives for the Financial Stability Oversight Council

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).

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Panelists Announced for NASAA Annual Conference

September 16, 2010 – NASAA announces the lineup of speakers and panels for its upcoming annual conference in Baltimore, Maryland.

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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.

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