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.
All: Current Headlines
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.
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.
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.