June 27, 2011 – ETFs have grown increasingly popular with retail investors during the last decade, but state securities regulators note in a new investor advisory that certain ETFs may not be appropriate for long-term investors.
All: Current Headlines
March 15, 2011 – NASAA has filed a brief in U.S. District Court Northern District of Texas Dallas Division urging the court to deny a request for a preliminary injunction to halt administrative proceedings brought by state regulators against Securities America Inc. and Securities America Financial Corporation and other defendants.
March 14, 2011 – Dodd-Frank implementation will take the spotlight at NASAA’s Public Policy Conference in Washington, D.C., later this month.
March 10, 2011 – State securities regulators throughout the United States are observing 100 years of protecting investors. The nation’s first state securities law went into effect on March 10, 1911 in Kansas.
February 22, 2011 – Sunday, Feb. 20 marked the start of America Saves Week, a seven-day campaign to encourage Americans to save for a secure retirement. NASAA urges investors to do their homework before they make any investment decisions.
February 1, 2011 – NASAA issued a statement following the Securities and Exchange Commission’s approval of FINRA’s proposal to allow investors filing arbitration claims to have the option of choosing an all-public panel of arbitrators.
January 31, 2011 – NASAA cautions investors to be mindful of the risks and realities of franchising.
January 24, 2011 – NASAA issued a statement following the release of a study by the Securities and Exchange Commission staff examining the obligations of brokers, dealers and investment advisers.
January 20, 2011 – NASAA issued a statement following the release of a study by the Securities and Exchange Commission staff examining the regulatory oversight of investment advisers.