Current Headlines
April 16, 2020
New Resource Shows Strong State COVID-19 Regulatory Response
NASAA today released a new resource to provide information about the operational status of state securities regulators and any regulatory relief that they may have issued in response to the ongoing COVID-19 crisis.
April 3, 2020
NASAA Outlines Investor Protection Concerns Amid COVID-19 Crisis in Remarks to SEC Advisory Committee
“The past few weeks have been challenging for investors, regulators, and the financial services industry. While state securities authorities are working to help financial professionals withstand current difficulties, we remain focused on our mission to protect investors,” Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities, said in remarks to the SEC’s Investor Advisory Committee.
March 30, 2020
COVID-19-Related Investment Schemes Anticipated
"In these extraordinary times the health and welfare of all must be our foremost concern, and that includes our financial health. Our primary focus remains on the protection of retail investors,” said Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities.
March 26, 2020
NASAA Outlines Steps State Securities Regulators are Taking to Provide Temporary Regulatory Relief Amid COVID-19 Pandemic
“State securities regulators have been working together closely to provide financial service professionals with the temporary relief needed to withstand challenges caused by the COVID-19 outbreak, while at the same time ensuring that investors are protected from frauds,” Commissioner Lubin said.
March 17, 2020
NASAA Urges SEC Not to Move Forward with Proposal to Expand Access to High-Risk Private Offerings Without Added Protections
“The proposal is a deregulatory effort that is singularly focused on expanding the private markets while showing little regard for its potential adverse effects on retail investors and the public markets,” wrote Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities. “The Commission should not move forward with the proposal as currently presented.”
March 2, 2020
State and Provincial Securities Regulators Offer Resources Addressing Unique Investing Issues Facing Women
In recognition of Women’s History Month and the women’s suffrage centennial, NASAA has developed an outreach program to help state and provincial securities regulators provide investor education that delivers practical tools addressing the unique investing issues faced by women.
February 28, 2020
NASAA Reminds Investors to Beware of Con Artists Looking to Profit from Fear and Uncertainty
In light of the ongoing developments related to the current coronavirus (COVID-19) situation, and its impact on financial markets, state and provincial securities regulators are reminding investors to beware of con artists seeking to capitalize on fear and uncertainty.
February 13, 2020
NASAA Seeks Public Comment on Proposed Continuing Education Program for Investment Adviser Representatives
"We are proposing a responsive and relevant continuing education program to help investment adviser representatives better serve their clients and keep their skills sharp by remaining knowledgeable of current regulatory requirements and best practices,” said Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities.
February 11, 2020
State Report and Hold Laws Show Positive Impact in Fight Against Senior Financial Exploitation
Reports of suspected senior financial exploitation are increasing in jurisdictions that have enacted legislation or regulations based on NASAA’s Model Act to Protect Vulnerable Adults From Financial Exploitation.
January 21, 2020
