All: Current Headlines

NASAA Comments on SEC’s Regulation Best Interest and Related Rule Proposals

August 27, 2018: NASAA comment letter expresses support for the SEC’s work to raise the standard of care for broker-dealers and encourages the agency to make significant revisions to its April 18 Regulation Best Interest and related proposals (Reg BI) before adopting them in order to best serve the interests of investors.

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State and Provincial Securities Regulators to Convene in Alaska for NASAA Annual Meeting

July 25, 2018: Borg: “Our program for this year’s meeting launches NASAA’s centennial celebration with a cohesive look ahead at the changes and challenges on the horizon for today’s investors, the securities industry and its regulators.”

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NASAA Recognizes World Elder Abuse Awareness Day

June 15, 2018: Warns of Danger Signs of Suspected Abuse by Guardians

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NASAA Urges Congress to Reject the “Securities Fraud Act”

June 13, 2018:Borg: “Real people will suffer as a result of this misguided and irresponsible legislation.”

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NASAA Statement Regarding the Signing into Law of “The Senior Safe Act”

May 25, 2018:Borg: “The Senior Safe Act is a significant step forward in the ongoing fight against senior financial exploitation.”

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CFTC, NASAA Sign Agreement for Greater Information Sharing Between Federal Commodities and State Securities Regulators

May 21, 2018: Borg: “State securities regulators look forward to strengthening our bond with the CFTC to enhance investor protection and prevent fraud.”

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State and Provincial Securities Regulators Conduct Coordinated International Crypto Crackdown

May 21, 2018:Borg: “The actions announced today are just the tip of the iceberg.”

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NASAA Announces Agenda and Speakers for 2018 Fintech Forum

May 10, 2018: CFTC Chairman J. Christopher Giancarlo to address NASAA forum, which will examine cryptocurrency regulation, initial coin offerings, and blockchain technology.

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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.

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State Securities Regulators Announce $26 Million Settlement With LPL Financial LLC Involving Sales of Unregistered, Non-exempt Securities

May 2, 2018:

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