All: Current Headlines

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

Current Headlines, Newsroom Read more

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.

Current Headlines, Newsroom, Uncategorized Read more

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.

Current Headlines, Newsroom Read more

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.

Current Headlines, Newsroom, Uncategorized Read more

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.

Current Headlines, Newsroom Read more

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.

Current Headlines, Newsroom Read more

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.”

Current Headlines, Newsroom Read more

Supreme Court Decision in American Express Case Underscores Need for Congress to Prohibit Forced Arbitration

June 25, 2013–NASAA: “It is now up to Congress to restore some vestige of consumer protection by prompt remedial legislation to restore the scales of justice to balance.”

Current Headlines, Newsroom Read more

NASAA Cautions Investors to be Wary of Speculative Energy Investments

June 18, 2013–With energy demands and a desire for energy independence increasing globally, investments in traditional and alternative energy resources are being promoted more often and are becoming attractive to investors and con artists alike.

Current Headlines, Newsroom Read more

Investor and Adviser Groups Voice Opposition to Weakened Fiduciary Standard

June 5, 2013-NASAA and others in a broad-based coalition call on SEC to establish a uniform fiduciary standard for broker-dealers and investment advisers that is at least as strong as the existing standard for investment advisers.

Current Headlines, Newsroom Read more