All: Current Headlines

NASAA Urges SEC to Revise Regulation A Proposal to Remove Potential Harm to Issuers and Investors

March 25, 2014–NASAA: Proposed Rule Flouts Congressional Intent by Preempting State Authority

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NASAA Public Policy Conference to Explore Challenges to Forecasting Markets and Investor Participation

March 20, 2014–Featured Speakers include SEC Commissioner Kara Stein and Sen. Joe Manchin; Panels to Focus on Bitcoins and How to Bring Main Street Investors Back to Wall Street

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NASAA Members Approve Streamlined Multi-State Coordinated Review Program

March 11, 2014–States Call on SEC to Allow Small Businesses to Benefit from the Program by Removing Preemptive Language from Regulation A Proposed Rule

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Media Advisory: NASAA Leadership Letter to SEC Objecting to State Preemption of Reg A+ Offerings

February 20, 2014–NASAA Leadership Letter to SEC Objecting to State Preemption of Reg A+ Offerings

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NASAA Deputy General Counsel Named New SEC Investor Advocate

WASHINGTON, D.C. (February 12, 2014) – The North American Securities Administrators Association (NASAA) today congratulated NASAA Deputy General Counsel Rick A. Fleming on his appointment as the Securities and Exchange Commission’s new Investor Advocate. Fleming becomes the first person to lead the SEC’s Office of the Investor Advocate, which was created by the Dodd-Frank Wall […]

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NASAA Statement on SEC’s Regulation A+ Proposed Rule

December 18, 2013–NASAA: :The Commission’s proposed rule ignores Congress’ recent judgment and defies Congress’ clear intent. As a policy matter, it is not clear why the Commission would remove state oversight in a high-risk area where both federal and state resources should be fully leveraged to provide sufficient, regular review.”

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NASAA Statement on SEC Investor Advisory Committee’s Recommendation Regarding SEC Investment Adviser Exam Funding

November 22, 2013–NASAA applauds the IAC’s efforts to keep the examination fix a top priority for the SEC and Congress.

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NASAA Statement on SEC Investor Advisory Committee’s Support for Fiduciary Duty for Broker-Dealers

November 22, 2013–State securities regulators strongly support the recommendations of the SEC’s Investor Advisory Committee to extend a fiduciary duty to broker-dealers when they provide personalized investment advice to retail investors, and to call for legislation to fund investment adviser examinations. NASAA encourages the SEC and Congress to take swift action on each of these important recommendations.

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States Report Increased Withdrawals of Licenses of Unscrupulous Brokers, Investment Advisers

October 31, 2013–NASAA Enforcement Report Details Investor Protection Role of State Securities Regulators

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NASAA Outlines Plan for Streamlined State Review of JOBS Act-related Multi-State Offerings

October 30, 2013–New system would ease regulatory compliance costs on small companies attempting to raise capital under a provision of the Jumpstart Our Business Startups (JOBS) Act.

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