All: Current Headlines

NASAA Statement Regarding Patricia Struck

January 7, 2016–“For all that Patty was to NASAA as a leader, a colleague, and a mentor she was first and foremost a friend. Patty always had kind things to say in every situation and we are better for having known her. We miss her greatly.”

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NASAA Announces Top Investor Threats

December 21, 2015–Investors Reminded to Approach Unsolicited Offers with Caution

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NASAA Launches Senior-Focused Website: ServeOurSeniors.org

December 17. 2015–“We are pleased to provide a resource-rich online environment for senior investors and those best positioned to provide for their care, financial security and protection,” said Judith Shaw, NASAA President and Maine Securities Administrator.

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NASAA Cautions Fraud Victims About Third-Party Asset Recovery Companies

December 10, 2015–Firms May Offer Fraud Victims Little More Than False Hope for a Fee

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NASAA Cautions Investors About ‘The Next Big Thing’

November 9, 2015–Spotlight on Marijuana-related Investments, Binary Options, and Digital Currency

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IARD System Fee Waiver Announced for Investment Adviser Firms

November 3, 2015–NASAA Continues Reduced System Fees for Investment Adviser Representatives

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NASAA Statement Regarding Announced Retirement Plans of FINRA Chairman Richard Ketchum

October 30, 2015–“NASAA has enjoyed a good working relationship with Rick and wish him well. We look forward to working with him until his successor is in place.”

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NASAA Statement on SEC Crowdfunding Rule and Proposed Rule 147 and Rule 504 Amendments

October 30, 2015–“Any initiative to develop new or expand existing capital formation tools must include significant and meaningful investor protections.”

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NASAA Applauds Sens. Collins and McCaskill on the Introduction of their Bipartisan ‘Senior$afe Act of 2015’

October 29, 2015–NASAA President Judith Shaw: “On behalf of NASAA, I want to commend Senators Collins and McCaskill on their efforts to shine a light on the critical problem of senior financial exploitation.”

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Maryland Securities Commissioner Lubin To Represent NASAA on Financial Stability Oversight Council

October 22, 2015–NASAA announces the appointment of Maryland Securities Commissioner Melanie Senter Lubin to represent state securities regulators on the Financial Stability Oversight Council (FSOC).

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