All: 2010 Headlines

NASAA Urges SEC to Put Investors First in Dodd-Frank Fiduciary Study

August 31, 2010 – NASAA urges the SEC to put investors first by extending the fiduciary duty to all who provide investment advice about securities.

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NASAA, SEC, FINRA Publish Updated Best Practices for Firms Serving Senior Investors

August 13, 2010 – The SEC, FINRA and NASAA issue an updated joint report that outlines practices being used by financial services firms to strengthen their policies and procedures for serving senior investors as they approach and begin retirement.

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NASAA Identifies Top Investor Traps

August 3, 2010 – NASAA releases its annual list of traps that cautious investors should avoid when seeking to jump-start their investment portfolios.

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NASAA To Host Annual Conference in Baltimore September 26-28

July 27, 2010 – The three-day conference will offer attendees an opportunity to take advantage of expert insight into the changes on the horizon for regulatory structures and industry practices.

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State Securities Regulators Applaud Dodd-Frank Wall Street Reform and Consumer Protection Act as it is Signed into Law

July 21, 2010 – NASAA commended the act for recognizing and enhancing the strong investor protection role of state securities regulators.

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NASAA Statement on the SEC’s Vote to Enhance Investment Adviser Disclosure

July 21, 2010 – NASAA issues a statement following the vote by the SEC to adopt amendments to Part 2 of Form ADV and related rules.

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NASAA Statement on the SEC's Vote to Enhance Investment Adviser Disclosure

July 21, 2010 – NASAA issues a statement following the vote by the SEC to adopt amendments to Part 2 of Form ADV and related rules.

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NASAA Urges Congress to Support Dodd-Frank Wall Street Reform and Consumer Protection Act Conference Report

June 29, 2010 – NASAA cites Dodd-Frank’s recognition of the strong investor protection role of state securities regulators in urging Congress to support the proposal.

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State Securities Regulators Announce Launch of Online Service Providing Background Information About Investment Adviser Representatives

June 28, 2010 – NASAA announces enhancement to IAPD website that will allow investors to electronically access information about individuals who work for money management, financial planning and other investment advisory firms.

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NASAA Statement on House-Senate Conference Fiduciary Compromise

June 24, 2010 – NASAA expresses disappointment following House-Senate compromise on fiduciary duty.

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