April 4, 2012 – NASAA announced that a settlement in principle has been reached between Bankers Life and Casualty Company and state securities regulators concluding an investigation of unlicensed/unregistered brokerage activity by the insurance company.
All: Current Headlines
March 28, 2012 – NASAA assists advisers in making the switch from SEC to state registration with new online IA registration resource.
March 22, 2012 – NASAA calls the JOBS Act a “fundamentally flawed product of a rush to legislate.”
March 22, 2012 – NASAA President Jack E. Herstein issued a statement following the Senate vote on the “Jumpstart Our Business Startups (JOBS)” Act.
March 8, 2012 – Jack E. Herstein, president of the North American Securities Administrators Association and Assistant Director of the Nebraska Banking & Finance Department, Bureau of Securities, issued a statement following today’s vote by the House of Representatives to approve the Jumpstart Our Business Startups (JOBS) Act, H.R. 3606.
February 21, 2012 – NASAA encourages military members and their families to shore up their defenses against investment fraud during Military Saves Week.
February 1, 2012 – Following the Federal Reserve’s announcement that interest rates are expected to remain low until at least late 2014, NASAA today cautioned investors to beware of risky or outright fraudulent investments promising higher yield or returns.
January 18, 2012 – NASAA announces that a toll-free hotline and website have been established to assist investors who purchased auction rate securities (ARS) through E*TRADE Securities LLC.
December 1, 2011 – NASAA today said states should be the primary regulator of small business capital formation, including crowdfunding offerings.
November 29, 2011 – NASAA has developed a coordinated review program for investment advisers switching from federal to state securities regulatory oversight as mandated by Dodd-Frank.