All: Current Headlines

NASAA Encourages Congress to take ‘Balanced Approach’ to Capital Formation Proposals to Restore Investor Confidence

October 23, 2013–NASAA: “What we need is smarter regulation, not merely deregulation.”

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NASAA Announces IARD System Fee Waiver for Investment Adviser Firms

October 23, 2013–Reduced System Fees Continued for Investment Adviser Representatives

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NASAA Expands Annual Top Investor Threat List

October 15, 2013–JOBS Act implementation prompts additions of threats to small business owners.

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Ohio Securities Commissioner Andrea Seidt to Lead NASAA

October 8, 2013–Seidt Says NASAA Agenda to Continue Focus on “Smarter Regulation” Balancing Investor Protection and Capital Formation

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NASAA Reports Similarities in Deficiencies Among Existing and Switching Investment Advisers

October 7, 2013–NASAA reports little difference in the type or frequency of deficiencies between existing state investment and those advisers who switched from federal to state oversight as a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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NASAA Annual Conference to Explore Investor Protection Amid Evolving Regulatory Landscape

September 9, 2013–Make plans now to attend NASAA’s Annual Conference in Salt Lake City, Utah.

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NASAA Strongly Supports the Investor Choice Act of 2013

August 2, 2013–Ellison bill would greatly benefit capital formation and job creation by fostering investor trust; ensures that investors have access to judicial system by prohibiting use of mandatory pre-dispute securities arbitration agreements.

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NASAA Statement on Confirmation of Kara Stein and Michael Piwowar to SEC

August 2, 2013–NASAA congratulates Kara Stein and Michael Piwowar on their Senate confirmation to serve on the SEC.

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Updated Publication Addresses Investor Confusion about Stockbrokers, Investment Advisers, and Financial Planners

July 30, 2013–Updated brochure explains the differences between brokers, investment advisers, and financial planners and identifies questions investors should ask themselves and potential providers before making a choice.

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NASAA Statement on SEC Decision Allowing Private Placement Advertising

July 10, 2013–NASAA: “State securities regulators are disappointed that lifting the ban on general solicitation and advertising of highly speculative and sometimes fraudulent private placement offerings investments before approving safeguards needlessly puts investors in harm’s way.”

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