Current Headlines
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
NASAA Announces Federal Legislative Priorities
Download: NASAA Legislative Priorities for the 115th Congress WASHINGTON, D.C., March 2, 2017 – The North American Securities Administrators Association (NASAA), which represents state and provincial securities regulators, today released its recommendations to Congress regarding ways to strengthen investor protection and facilitate healthy capital formation. “Our legislative priorities are designed to help members of the 115th […]
February 27, 2017
State Securities Regulators Join America Saves Week to Build Awareness of Safe Financial Behavior
February 27, 2017--“As families across America discuss their saving and investing goals, they can turn to the resources provided by state securities regulators to learn about investing wisely in order to meet their financial goals,” said Mike Rothman, NASAA president and Minnesota Commissioner of Commerce. “Information and awareness are critical in the fight against losing hard-earned money to investment fraud.”
February 17, 2017
NASAA, SEC Sign Info-Sharing Agreement For Crowdfunding and Other Offerings
February 17, 2017--NASAA President Rothman: “This agreement will strengthen collaboration among state and federal securities regulators to help expand small-business investment opportunities while also protecting investors. Ongoing dialogue is essential to carry out our responsibilities going forward. With this MOU in place, we have an opportunity to share information that will bolster our efforts to support small business capital formation and prevent fraud."
December 20, 2016
NASAA Announces ‘Start Today and Retire Tomorrow’ (STaRT) Initiative
December 20, 2016--New Workplace Education Training Program to Help Workers Toward Retirement Security
November 16, 2016
