All: Current Headlines

NASAA Offers Pro-Investor Legislative Agenda

February 2, 2011 – NASAA’s 2011 Legislative Agenda calls for Congress to continue its commitment to investors by maintaining a strong system of state and federal investor protection.

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NASAA Statement on SEC Approval of FINRA Arbitration Proposal

February 1, 2011 – NASAA issued a statement following the Securities and Exchange Commission’s approval of FINRA’s proposal to allow investors filing arbitration claims to have the option of choosing an all-public panel of arbitrators.

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NASAA Helps Prospective Entrepreneurs Evaluate Franchise Opportunities

January 31, 2011 – NASAA cautions investors to be mindful of the risks and realities of franchising.

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NASAA Statement on SEC Study on the Obligations of Brokers, Dealers and Investment Advisers

January 24, 2011 – NASAA issued a statement following the release of a study by the Securities and Exchange Commission staff examining the obligations of brokers, dealers and investment advisers.

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NASAA Statement on SEC Study on Investment Adviser Oversight

January 20, 2011 – NASAA issued a statement following the release of a study by the Securities and Exchange Commission staff examining the regulatory oversight of investment advisers.

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NASAA Statement on GAO Financial Planner Study

January 18, 2011 – NASAA issued a statement regarding the release today by the Government Accountability Office of its report, “Regulatory Coverage Generally Exists for Financial Planners, but Consumer Protection Issues Remain.”

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