Current Headlines
May 7, 2018
NASAA Releases First Annual Report on State-Registered Investment Advisers
May 7, 2017: NASAA today released its first annual report identifying the contours of the state-registered investment adviser population and the related regulatory activities of state securities regulators.
May 2, 2018
State Securities Regulators Announce $26 Million Settlement With LPL Financial LLC Involving Sales of Unregistered, Non-exempt Securities
May 2, 2018:
April 24, 2018
NASAA Report Confirms Industry Progress to Comply with DOL Fiduciary Rule
April 24, 2018: Report Demonstrates Broker-Dealer Firms Devoted Considerable Resources in Anticipation of Rule’s Implementation
April 9, 2018
Speakers Announced for NASAA Public Policy Roundtable
April 9, 2018--Discussions to Focus on Cryptocurrency Enforcement & Securities Arbitration; For First Time, NASAA Offers Participants Option to Attend Online
April 5, 2018
NASAA Joins National Financial Capability Month Campaign
April 5, 2018--NASAA President Joseph Borg: “A key component of improving your financial capability is having an understanding of basic financial principles and practices. Being financially literate helps keep savings and investments safe from financial predators.”
February 15, 2018
Rise of Fintech Raises New Concerns for Securities Regulators
February 15, 2018--NASAA Survey Shows Millennials at Greatest Risk for Fintech Fraud; Need for Increased Vigilance by Regulators, Industry and Investors
January 4, 2018
NASAA Reminds Investors to Approach Cryptocurrencies, Initial Coin Offerings and Other Cryptocurrency-Related Investment Products with Caution
January 4, 2018--Borg: “Go beyond the headlines and hype to understand cryptocurrency investment risk.”
January 3, 2018
Online Tool Helps Investors with Selecting a Financial Advisor
January 3, 2018--‘Interview an Advisor’ Guides Process with Questions about Qualifications and Standards
December 22, 2017
NASAA Statement on Confirmations of Robert Jackson and Hester Peirce to Serve on the U.S. Securities and Exchange Commission
December 22, 2017--NASAA President Joseph P. Borg: “On behalf of state and provincial securities regulators, I congratulate Robert Jackson and Hester Peirce on their confirmations to serve on the SEC. We look forward to working with Commissioners Jackson and Peirce, their fellow Commissioners Stein and Piwowar, and Chairman Clayton on our shared goal of protecting Main Street investors and the integrity of the securities markets they depend upon for a financially secure retirement.”
December 13, 2017
