All: Current Headlines

Washington’s William Beatty to Lead NASAA

September 16, 2014–Beatty: “I strongly believe in NASAA’s mission to protect retail investors and foster capital formation.”

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Working Group Formed to Develop Improved Fee Disclosure

September 11, 2014–Follows NASAA Report Uncovering Wide Disparity of Broker-Dealer Fee Disclosure Practices

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NASAA Survey Finds Mid-Sized IAs Addressing Cybersecurity Risks

September 10, 2014–Investment Advisers Report Few Security Breaches

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New NASAA Initiative Focuses on Senior Investor Issues

August 19, 2014–Committee Reflects Long-Standing Role of State and Provincial Securities Regulators to Protect Senior Investors

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NASAA Annual Conference to Focus on Meeting Tomorrow’s Challenges Today

August 18, 2014–Indianapolis Conference to Explore Diminished Capacity, High-Frequency Trading, and State Efforts to Help Small Businesses Raise Capital

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NASAA Supports FINRA’s Effort to Reduce Deletion of Customer Complaint Records

July 28, 2014–States Use Data to Screen Broker License Applications for Bad Actors

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NASAA’s Streamlined Multi-State Coordinated Review Program Now Accepting Applications for Regulation A Offerings

May 12, 2014–Program eases regulatory hurdles to benefit small businesses without sacrificing investor protection.

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NASAA Calls for Balanced, Sensible Policy Reforms Reflecting ‘Smarter Regulation’ That Does Not Scale Back Investor Protection as New Capital Formation Proposals Emerge

May 1, 2014–State securities regulators concerned about ‘overarching deregulatory nature’ of proposals.

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NASAA Issues Investor Advisory on Virtual Currency

April 29, 2014–“Unlike traditional currency, these alternatives typically are not backed by tangible assets, are not issued by a governmental authority and are subject to little or no regulation,” said Andrea Seidt, NASAA President and Ohio Securities Commissioner.

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NASAA Statement Regarding FINRA Decision on Schwab Effort to Curb Investor Rights in Class Actions

April 24, 2014–NASAA: “State securities regulators are pleased that today’s decision by FINRA’s Board of Governors recognizes the danger in Charles Schwab’s attempt to unilaterally change its customer account agreements to force its clients to waive their rights to participate in class-action lawsuits.”

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