All: Current Headlines

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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Survey Finds Inconsistent Broker-Dealer Fee Disclosure and Questionable Markups

April 24, 2014–NASAA seeks to help industry develop model fee disclosure to help investors compare costs for services.

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CSBS and NASAA Release Guidance on Virtual Currency

April 23, 2014–Model consumer guidance is designed to assist state regulatory agencies in providing consumers with information about virtual currency as well as what factors consumers should consider when transacting with or investing in virtual currencies.

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NASAA Renews Call on SEC to Revise Regulation A Rule Proposal

April 8, 2014–NASAA announces that nearly all U.S. NASAA members have officially signed a Memorandum of Understanding demonstrating their agreement to participate in NASAA’s new Coordinated Review Program for Regulation A Offerings.

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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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