All: Current Headlines

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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NASAA Statement on SEC Study on Investment Adviser Oversight

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.

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NASAA Statement on GAO Financial Planner Study

January 18, 2011 – NASAA issued a statement regarding the release today by the Government Accountability Office of its report, “Regulatory Coverage Generally Exists for Financial Planners, but Consumer Protection Issues Remain.”

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