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Current Headlines

Topic
Year
November 1, 2017

NASAA 2018 Fee Announcement

November 1, 2017–Waiver Continues for IARD System Fee for Investment Adviser Firms; Modest Increases Set for Exam Enrollment & Form D Filing Fees
October 30, 2017

NASAA Spotlights Warning Signs of Guardian Financial Abuse

October 30, 2017--NASAA President Joseph P. Borg: “Through this resource, we hope to help focus attention on the warning signs of suspected guardian financial abuse.”
September 26, 2017

NASAA Releases Annual Enforcement Report

September 26, 2017--NASAA President Joseph P. Borg: “State securities regulators continue to serve a critical role in protecting investors and holding securities law violators responsible for the damage they cause to individual investors as well as to the integrity of our capital markets.”
September 26, 2017

NASAA Reports Growing Use of Model Fee Disclosure Table

September 26, 2017--NASAA President Joseph P. Borg: "All firms that have taken this important step to help bring uniformity to the disclosure of broker-dealer service and maintenance-related fees are commended and others are encouraged to match this level of disclosure for their clients.”
September 26, 2017

Alabama’s Joseph Borg Begins Term as NASAA President

September 26, 2017--Becomes First Administrator Elected to Three Terms as Chief of International Investor Protection Organization
September 24, 2017

State Investment Adviser Examinations Uncover Cybersecurity Deficiencies

September 24, 2017--NASAA Also Releases New Cybersecurity Resource for Investment Advisers
August 30, 2017

NASAA Cautions Investors to Watch for Scams in Wake of Hurricane Harvey

August 30, 2017--NASAA Also Extends Exam Windows for Candidates Affected by Storm
August 21, 2017

Seniors at Risk From Financial Fraud

August 21, 2017--Survey of State Securities Regulators Highlights Seniors as Most Vulnerable and the Need for Better Fraud Detection
August 10, 2017

NASAA Annual Conference to Focus on the Financial Services Technology Revolution

August 10, 2017--Securities regulators and industry participants from throughout North America will convene next month in Seattle, Washington, for the North American Securities Administrators Association’s (NASAA) annual conference. Under the theme “The Financial Services Technology Revolution,” the conference will be held September 24-26.
June 23, 2017

Cybersecurity Threats to Financial Services Industry, Investors Explored at NASAA Roundtable

June 23, 2017--Rothman: “Cybersecurity is a growing challenge for the securities industry and for securities regulators at all levels,”




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