September 9, 2012 – NASAA identifies the top compliance violations and offers a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures.
All: Current Headlines
August 21, 2012 — NASAA releases its annual list of financial products and practices that threaten to trap unwary investors. New on the list: practices that attempt to exploit new and existing federal laws designed to promote job creation and stimulate economic recovery.
NASAA Annual Conference to Focus on Innovation, Investor Protection and the Road to Economic Recovery
August 9, 2012 — NASAA Annual Conference set for Sept. 9-11 in Coronado, California.
July 25, 2012) – NASAA issues statement supporting legislation that would enable the SEC to collect an annual fee from investment advisers subject to inspection or examination by the Commission to defray the cost of inspections and examinations.
July 9, 2012 – NASAA and the Retirement Industry Trust Association will conduct a free webinar to help raise public awareness of how to avoid fraud when considering investing in self-directed Individual Retirement Accounts.
June 28, 2012–NASAA reminds investment advisers eligible to switch from federal to state registration that have yet to switch to contact their state securities regulator to begin the process.
Download: NASAA Small Business Advisory on Crowdfunding WASHINGTON, D.C. (June 27, 2012) – The North American Securities Administrators Association (NASAA) today issued an advisory to spotlight concerns for small businesses and entrprepreneurs seeking to raise investment capital through crowdfunding. The advisory is available here. Crowdfunding is an online money-raising strategy that began as a way [...]
WASHINGTON, D.C. (June 12, 2012) – The North American Securities Administrators Association (NASAA) announced today that veteran Iowa securities regulator Craig Goettsch was elected Vice Chair of the Securities and Exchange Commission’s (SEC) Investor Advisory Committee during the committee’s inaugural meeting. Goettsch is Securities Counsel and Director of Investor Education and Consumer Outreach for the [...]
H.R. 4624 WOULD ADD REDUNDANT, UNNECESSARY LAYERS OF REGULATION AND COST ON SMALL BUSINESSES Download testimony WASHINGTON (June 6, 2012) – Legislation to create a self-regulatory organization (SRO) for investment advisers would add redundant regulation and costs on thousands of small businesses in communities throughout the United States that could force many of these local [...]
WASHINGTON, D.C. (May 15, 2012) – The North American Securities Administrators Association (NASAA) today issued an advisory warning investors to approach crowdfunding investment opportunities with great caution. The advisory is on NASAA’s website here. Crowdfunding is an online money-raising strategy that began as a way for the public to donate small amounts of money, often [...]