All: Current Headlines

Working Group Develops Model Fee Disclosure Schedule

September 28, 2015–New Voluntary Guidelines to Help Investors Understand and Compare Miscellaneous Broker-Dealer Fees

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State Securities Regulators Announce Settlement with LPL Financial LLC Involving Non-Traded REIT Investigation

September 23, 2015–Under the terms of the settlement, Boston-based LPL agreed to remediate losses for all non-traded REITS sold by the firm from January 1, 2008 through December 31, 2013 in violation of prospectus standards, state concentration limits or LPL’s own guidelines.

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NASAA Releases Annual Enforcement Report

September 22, 2015–Report Indicates Seniors Remain a Top Target for Cons

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NASAA Annual Conference to Explore Regulation For the Ages

August 31, 2015–Investor Champion and former SEC Chair Arthur Levitt to Deliver Keynote Address

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NASAA’s Electronic Filing Depository Reaches Milestone

August 5, 2015–Streamlined Online Filing System Tops 10,000 Filings

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NASAA Supports World Elder Abuse Awareness Day

June 15, 2015–NASAA today recognized World Elder Abuse Awareness Day (WEAAD) by urging all to join in the fight against senior financial exploitation, the crime of the 21st century.

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NASAA Names Joseph Brady as Executive Director

May 26, 2015–As Executive Director, Brady will work closely with NASAA leadership and members, industry and investor groups, other regulators and Capitol Hill lawmakers. He also will oversee NASAA’s day-to-day operations.

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NASAA Statement on Texas Supreme Court Ruling in Life Partners v. Arnold

May 11, 2105–“NASAA appreciates that the Texas Supreme Court agrees with state securities regulators that the life settlement contacts and viaticals, at issue in Life Partners v. Arnold satisfy the definition of an investment contact under the Texas Securities Act, making them securities subject to the Texas Securities Act.”

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NASAA Advisory Shines Light on Broker-Dealer Fees

April 22, 2015–In recognition of Financial Literacy Month, (April 1-30) NASAA issues an advisory to help raise investor awareness about fees charged by broker-dealer firms for services and maintenance of investment accounts.

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Speakers Announced for NASAA Public Policy Conference

April 9, 2015–NASAA announces final lineup of speakers and panelists for its upcoming Public Policy Conference, scheduled for April 14 in Washington, DC.

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