All: Current Headlines

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.

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NASAA Cautions Retail Investors About Exchange-Traded Funds

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.

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NASAA Files Brief in Billitteri v. Securities America

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.

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State and Provincial Securities Regulators to Convene

March 14, 2011 – Dodd-Frank implementation will take the spotlight at NASAA’s Public Policy Conference in Washington, D.C., later this month.

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State Securities Regulators Observe 100 Years of Investor Protection

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.

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NASAA Reminds Investors to Investigate Before They Invest

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.

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NASAA Offers Pro-Investor Legislative Agenda

February 2, 2011 – NASAA’s 2011 Legislative Agenda calls for Congress to continue its commitment to investors by maintaining a strong system of state and federal investor protection.

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NASAA Statement on SEC Approval of FINRA Arbitration Proposal

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.

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NASAA Helps Prospective Entrepreneurs Evaluate Franchise Opportunities

January 31, 2011 – NASAA cautions investors to be mindful of the risks and realities of franchising.

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NASAA Statement on SEC Study on the Obligations of Brokers, Dealers and Investment Advisers

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.

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