All: Current Headlines

NASAA Statement on Department of Labor Fiduciary Rule

April 6, 2016–“We appreciate that by broadening the application of fiduciary duty, the Department of Labor’s rule raises the standard of care applicable to retirement investors.”

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NASAA Unveils Training Program to Combat Elder Financial Abuse

March 30, 2016–State Securities Regulators to Offer Training to BDs and IAs

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NASAA Members Adopt Model Act to Protect Seniors and Vulnerable Adults

Feb. 1, 2016–Model Act Delivered to Jurisdictions to Pursue as Legislation or Regulation

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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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