September 13, 2011 – NASAA outlined its vigorous opposition to the creation of a self-regulatory organization for investment advisers in testimony before the House Subcommittee on Capital Markets and Government Sponsored Enterprises.
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September 7, 2011 – NASAA cautioned investors to make sure they know who they are doing business with when considering investments pitched through “friends” on social networking sites.
August 30, 2011 – NASAA announced that SEC Commissioner Elisse Walter will be the keynote speaker at its annual conference, which commemorates the 100-year anniversary of state securities law and explores the future of investor protection and securities regulation.
August 23, 2011 – NASAA releases its annual list of financial products and practices that threaten to trap unwary investors, many by taking advantage of investors troubled by lingering economic uncertainty and volatile stock markets.
August 4, 2011 – NASAA’s Annual Conference (September 11-13 in Kansas) will focus on the past, present and future of securities regulation.
July 12, 2011 – In testimony before the U.S. Senate Banking Committee, NASAA President David Massey today outlined the gains made in investor protection since the enactment of the Dodd-Frank Act nearly one year ago.
State Securities Regulators Announce Settlement with Raymond James in Auction Rate Securities Investigations
June 29, 2011 – NASAA today announced that a settlement in principle has been reached between Raymond James Financial Services, Inc. and state securities regulators to return approximately $300 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008.