All: Current Headlines

NASAA to Convene Cybersecurity Roundtable

May 31, 2017–Rothman: “Cyberattacks continue to be one of the greatest threats to our financial sector.”

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NASAA Reports More Firms Using Model Fee Table

May 9, 2017–Rothman: “This collaborative initiative between regulators and industry helps increase the transparency of fee disclosure for investors.”

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NASAA Conference to Focus on Investor Protection & Market Confidence

May 1, 2017–Rothman: “This year’s conference will help us stay on the forefront of securities regulation, capital formation, investor protection and key public policy for state and provincial regulators as we chart a course for the future amid a sea of change.”

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NASAA Urges Congress to Remember Lessons Learned From Financial Crisis Before Weakening Investor Protections Through Financial CHOICE Act

April 28, 2017–In testimony before the House Committee on Financial Services, the North American Securities Administrators Association (NASAA) today urged Congress to remember the lessons learned from the financial crisis of 2008 as it considers provisions in the Financial CHOICE Act that will weaken critical investor protections.

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NASAA Says Financial CHOICE Act Would Reverse Critical Investor Protections, Sending Regulatory Policies in “Wrong Direction”

April 26, 2017–Rothman: “It is clearly evident that the changes contemplated by the bill would significantly undermine and compromise the ability of regulators to effectively enforce financial laws and regulations.”

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NASAA Announces Second Senior$afe Training Week

April 25, 2017–Rothman: “NASAA’s Senior$afe training program is an essential resource for investment services providers who are uniquely positioned to help protect seniors and identify financial abuse.”

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NASAA Recognizes Financial Capability Month by Promoting Investor Education Outreach Programs

April 24, 2017–Rothman: “Financial capability is about educating and empowering all people of every age to take charge of their financial futures. Not only does it help people step up the ladder of economic opportunity and wealth, but also it helps to protect against predatory financial tricks and traps.”

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NASAA Announces Federal Legislative Priorities

Download: NASAA Legislative Priorities for the 115th Congress WASHINGTON, D.C., March 2, 2017 – The North American Securities Administrators Association (NASAA), which represents state and provincial securities regulators, today released its recommendations to Congress regarding ways to strengthen investor protection and facilitate healthy capital formation. “Our legislative priorities are designed to help members of the 115th […]

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State Securities Regulators Join America Saves Week to Build Awareness of Safe Financial Behavior

February 27, 2017–“As families across America discuss their saving and investing goals, they can turn to the resources provided by state securities regulators to learn about investing wisely in order to meet their financial goals,” said Mike Rothman, NASAA president and Minnesota Commissioner of Commerce. “Information and awareness are critical in the fight against losing hard-earned money to investment fraud.”

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NASAA, SEC Sign Info-Sharing Agreement For Crowdfunding and Other Offerings

February 17, 2017–NASAA President Rothman: “This agreement will strengthen collaboration among state and federal securities regulators to help expand small-business investment opportunities while also protecting investors. Ongoing dialogue is essential to carry out our responsibilities going forward. With this MOU in place, we have an opportunity to share information that will bolster our efforts to support small business capital formation and prevent fraud.”

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