All: Current Headlines

State and Provincial Securities Regulators Conduct Coordinated International Crypto Crackdown

May 21, 2018:Borg: “The actions announced today are just the tip of the iceberg.”

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NASAA Announces Agenda and Speakers for 2018 Fintech Forum

May 10, 2018: CFTC Chairman J. Christopher Giancarlo to address NASAA forum, which will examine cryptocurrency regulation, initial coin offerings, and blockchain technology.

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NASAA Releases First Annual Report on State-Registered Investment Advisers

May 7, 2017: NASAA today released its first annual report identifying the contours of the state-registered investment adviser population and the related regulatory activities of state securities regulators.

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State Securities Regulators Announce $26 Million Settlement With LPL Financial LLC Involving Sales of Unregistered, Non-exempt Securities

May 2, 2018:

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NASAA Report Confirms Industry Progress to Comply with DOL Fiduciary Rule

April 24, 2018: Report Demonstrates Broker-Dealer Firms Devoted Considerable Resources in Anticipation of Rule’s Implementation

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Speakers Announced for NASAA Public Policy Roundtable

April 9, 2018–Discussions to Focus on Cryptocurrency Enforcement & Securities Arbitration; For First Time, NASAA Offers Participants Option to Attend Online

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NASAA Joins National Financial Capability Month Campaign

April 5, 2018–NASAA President Joseph Borg: “A key component of improving your financial capability is having an understanding of basic financial principles and practices. Being financially literate helps keep savings and investments safe from financial predators.”

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Rise of Fintech Raises New Concerns for Securities Regulators

February 15, 2018–NASAA Survey Shows Millennials at Greatest Risk for Fintech Fraud; Need for Increased Vigilance by Regulators, Industry and Investors

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NASAA Reminds Investors to Approach Cryptocurrencies, Initial Coin Offerings and Other Cryptocurrency-Related Investment Products with Caution

January 4, 2018–Borg: “Go beyond the headlines and hype to understand cryptocurrency investment risk.”

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Online Tool Helps Investors with Selecting a Financial Advisor

January 3, 2018–‘Interview an Advisor’ Guides Process with Questions about Qualifications and Standards

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