Current Headlines
June 16, 2017
NASAA Announces Agenda and Speakers for Cybersecurity Roundtable
June 16, 2017--NASAA cybersecurity roundtable will bring together leading experts to discuss the latest developments in cybersecurity and how small- and mid-sized investment adviser and broker-dealer firms can help protect critical client information.
June 15, 2017
NASAA Study Examines Broker-Dealer Senior Practices and Procedures
June 15, 2017--A new NASAA study released in recognition of World Elder Abuse Awareness Day offers an inside look at the dangers seniors face from financial fraud and exploitation, and broker-dealer procedures to help protect senior clients.
May 31, 2017
NASAA to Convene Cybersecurity Roundtable
May 31, 2017--Rothman: “Cyberattacks continue to be one of the greatest threats to our financial sector.”
May 9, 2017
NASAA Reports More Firms Using Model Fee Table
May 9, 2017--Rothman: “This collaborative initiative between regulators and industry helps increase the transparency of fee disclosure for investors."
May 1, 2017
NASAA Conference to Focus on Investor Protection & Market Confidence
May 1, 2017--Rothman: “This year's conference will help us stay on the forefront of securities regulation, capital formation, investor protection and key public policy for state and provincial regulators as we chart a course for the future amid a sea of change.”
April 28, 2017
NASAA Urges Congress to Remember Lessons Learned From Financial Crisis Before Weakening Investor Protections Through Financial CHOICE Act
April 28, 2017--In testimony before the House Committee on Financial Services, the North American Securities Administrators Association (NASAA) today urged Congress to remember the lessons learned from the financial crisis of 2008 as it considers provisions in the Financial CHOICE Act that will weaken critical investor protections.
April 26, 2017
NASAA Says Financial CHOICE Act Would Reverse Critical Investor Protections, Sending Regulatory Policies in “Wrong Direction”
April 26, 2017--Rothman: “It is clearly evident that the changes contemplated by the bill would significantly undermine and compromise the ability of regulators to effectively enforce financial laws and regulations.”
April 25, 2017
NASAA Announces Second Senior$afe Training Week
April 25, 2017--Rothman: “NASAA’s Senior$afe training program is an essential resource for investment services providers who are uniquely positioned to help protect seniors and identify financial abuse.”
April 24, 2017
NASAA Recognizes Financial Capability Month by Promoting Investor Education Outreach Programs
April 24, 2017--Rothman: “Financial capability is about educating and empowering all people of every age to take charge of their financial futures. Not only does it help people step up the ladder of economic opportunity and wealth, but also it helps to protect against predatory financial tricks and traps.”
March 2, 2017
