Current Headlines
June 20, 2019
NASAA Statement on Confirmation of Allison Lee to SEC
“State securities regulators congratulate Allison Lee on her confirmation by the Senate to serve on the Securities and Exchange Commission. We look forward to working with Commissioner Lee, her fellow commissioners and Chairman Clayton on our mutual goal of protecting Main Street investors and the integrity of the securities markets they depend upon for their financial future.”
June 5, 2019
NASAA Statement on the SEC’s Regulation Best Interest
Statement by NASAA President Michael S. Pieciak regarding the adoption today by the U.S. Securities and Exchange Commission of its Regulation Best Interest, Form CRS, and publication of related proposals.
May 23, 2019
NASAA, SEC & FINRA Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation
New fact sheet designed to help raise awareness among broker-dealers, investment advisers, and transfer agents of the Act and how the Act’s immunity provisions work.
May 21, 2019
NASAA Members Adopt Investment Adviser Information Security Model Rule Package
“I am pleased that the NASAA membership adopted this information security model rule package, which now is available for individual jurisdictions throughout the United States to implement through regulation,” said Michael S. Pieciak, NASAA President and Vermont Commissioner of Financial Regulation.
April 30, 2019
Speakers Announced for NASAA Public Policy Roundtable
Discussions to Focus on Corporate Governance, Enforcement Activity and the Impact of the U.S.-Mexico-Canada Trade Agreement (USMCA) on the Investment Industry
April 30, 2019
NASAA Statement on The Senior Security Act
Statement by NASAA President Michael S. Pieciak, on the House passage of the The Senior Security Act (H.R. 1876), legislation introduced by Rep. Josh Gottheimer (D-NJ) and Trey Hollingsworth (R-IN).
April 3, 2019
NASAA Testifies at Congressional Hearing on Proposals to Put Main Street Investor Interests First
"NASAA applauds the Subcommittee on its decision to hold its initial hearings of the 116th Congress on proposals that explicitly place the interest of Main Street investors first,” Maryland Securities Commissioner and NASAA Board member Melanie Lubin testified before the House Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets, chaired by Rep. Carolyn Maloney (D-NY).
April 2, 2019
NASAA Joins States in Promoting Financial Capability Month
NASAA today announced its support of Financial Capability Month, a nationwide investor awareness initiative that invites people to improve their understanding of financial principles and best practices. Members of NASAA include state and provincial securities regulators throughout North America. As part of the initiative, NASAA released the first of its Millennial Moment videos.
March 12, 2019
NASAA’s Electronic Filing Depository Functionality Expanded
System Now Accepts Notice Filings for Unit Investment Trusts
March 5, 2019
