All: Current Headlines

NASAA Statement on SEC Leadership Change

WASHINGTON (November 28, 2012) — The following is a statement from Heath Abshure, president of the North American Securities Administrators Association and Arkansas Securities Commissioner, regarding the upcoming leadership change at the U.S. Securities and Exchange Commission. Earlier this week, President Obama designated SEC Commissioner Elisse Walter as chairman of the SEC effective December 14, […]

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Massey Reappointed to Two-Year Term Representing NASAA on FSOC

November 6, 2012–Former NASAA President David Massey reappointed to two-year term on Financial Stability Oversight Council.

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NASAA Warns Investors to Watch for Sandy Scams

October 31, 2012–Following the widespread destruction caused by Hurricane Sandy along the Eastern seaboard, NASAA warns investors to beware of opportunistic investment “Sandy scams.”

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Enforcement Report Details Investor Protection Role of State Securities Regulators

October 23, 2012 – NASAA releases results of annual enforcement survey. NASAA President Heath Abshure says the report “demonstrates that investors continue to rely upon state securities regulators.”

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Investor Advocates and State Securities Regulators Call on SEC to Rethink JOBS Act Rule

October 9, 2012 – In a news teleconference, Arkansas Securities Commissioner and NASAA President Heath Abshure and representatives of the AARP, AFL-CIO and Consumer Federation of America sharply criticized the Securities and Exchange Commission’s first JOBS Act rulemaking and called on the SEC to withdraw its proposal and craft a new rule that promotes capital formation without sacrificing investor protection.

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NASAA Announces IARD Fee System Waiver for Investment Adviser Firms

September 24, 2012 – NASAA announces the waiver of the Investment Adviser Registration Depository (IARD) system fees for investment adviser firms and the reinstatement of substantially reduced initial set-up and annual system fees paid by investment adviser representatives (IARs). Fees for IAs and IARs have been waived since 2008.

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A. Heath Abshure of Arkansas to Lead North American Securities Administrators Association

September 11, 2012 – Arkansas Securities Commissioner A. Heath Abshure begins a one-year term as NASAA president; delivers inaugural speech at annual conference.

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NASAA Launches Native American Investor Outreach Initiative

September 10, 2012 – NASAA launches a new investor outreach initiative to provide investor education resources to Native American and First Nation populations in the United States and Canada.

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Coordinated Examinations Identify Top BD Compliance Violations

September 9, 2012 – NASAA identifies the top compliance violations and offers a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures.

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Laws Provide Con Artists with Personal Economic Growth Plan

August 21, 2012 — NASAA releases its annual list of financial products and practices that threaten to trap unwary investors. New on the list: practices that attempt to exploit new and existing federal laws designed to promote job creation and stimulate economic recovery.

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