September 29, 2014–Aggressive Enforcement By State Securities Regulators Brings Criminals to Justice
All: Current Headlines
NASAA Appoints Advisory Council to Work With Regulators on Committee on Senior Issues and Diminished Capacity
September 16, 2014–“We look forward to working closely with an advisory council of experts from government, business, senior advocacy organizations, academia and medical and legal practitioners, as we move forward in this ever increasingly important area of investor protection and service,” said William Beatty, NASAA President and Washington Securities Director.
September 16, 2014–Beatty: “I strongly believe in NASAA’s mission to protect retail investors and foster capital formation.”
September 11, 2014–Follows NASAA Report Uncovering Wide Disparity of Broker-Dealer Fee Disclosure Practices
September 10, 2014–Investment Advisers Report Few Security Breaches
August 19, 2014–Committee Reflects Long-Standing Role of State and Provincial Securities Regulators to Protect Senior Investors
August 18, 2014–Indianapolis Conference to Explore Diminished Capacity, High-Frequency Trading, and State Efforts to Help Small Businesses Raise Capital
July 28, 2014–States Use Data to Screen Broker License Applications for Bad Actors
NASAA’s Streamlined Multi-State Coordinated Review Program Now Accepting Applications for Regulation A Offerings
May 12, 2014–Program eases regulatory hurdles to benefit small businesses without sacrificing investor protection.
NASAA Calls for Balanced, Sensible Policy Reforms Reflecting ‘Smarter Regulation’ That Does Not Scale Back Investor Protection as New Capital Formation Proposals Emerge
May 1, 2014–State securities regulators concerned about ‘overarching deregulatory nature’ of proposals.