All: Current Headlines

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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NASAA Statement on Confirmations of Robert Jackson and Hester Peirce to Serve on the U.S. Securities and Exchange Commission

December 22, 2017–NASAA President Joseph P. Borg: “On behalf of state and provincial securities regulators, I congratulate Robert Jackson and Hester Peirce on their confirmations to serve on the SEC. We look forward to working with Commissioners Jackson and Peirce, their fellow Commissioners Stein and Piwowar, and Chairman Clayton on our shared goal of protecting Main Street investors and the integrity of the securities markets they depend upon for a financially secure retirement.”

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NASAA Announces Current and Emerging Investor Threats

December 13, 2017–Promissory Notes, Real Estate Investments and Ponzi Schemes Top the List; ICO’s and Cryptocurrency CFDs Identified as Emerging Threat

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NASAA 2018 Fee Announcement

November 1, 2017–Waiver Continues for IARD System Fee for Investment Adviser Firms; Modest Increases Set for Exam Enrollment & Form D Filing Fees

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NASAA Spotlights Warning Signs of Guardian Financial Abuse

October 30, 2017–NASAA President Joseph P. Borg: “Through this resource, we hope to help focus attention on the warning signs of suspected guardian financial abuse.”

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NASAA Releases Annual Enforcement Report

September 26, 2017–NASAA President Joseph P. Borg: “State securities regulators continue to serve a critical role in protecting investors and holding securities law violators responsible for the damage they cause to individual investors as well as to the integrity of our capital markets.”

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NASAA Reports Growing Use of Model Fee Disclosure Table

September 26, 2017–NASAA President Joseph P. Borg: “All firms that have taken this important step to help bring uniformity to the disclosure of broker-dealer service and maintenance-related fees are commended and others are encouraged to match this level of disclosure for their clients.”

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Alabama’s Joseph Borg Begins Term as NASAA President

September 26, 2017–Becomes First Administrator Elected to Three Terms as Chief of International Investor Protection Organization

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