October 30, 2013–New system would ease regulatory compliance costs on small companies attempting to raise capital under a provision of the Jumpstart Our Business Startups (JOBS) Act.
All: Current Headlines
NASAA Encourages Congress to take ‘Balanced Approach’ to Capital Formation Proposals to Restore Investor Confidence
October 23, 2013–NASAA: “What we need is smarter regulation, not merely deregulation.”
October 23, 2013–Reduced System Fees Continued for Investment Adviser Representatives
October 8, 2013–Seidt Says NASAA Agenda to Continue Focus on “Smarter Regulation” Balancing Investor Protection and Capital Formation
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.
September 9, 2013–Make plans now to attend NASAA’s Annual Conference in Salt Lake City, Utah.
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.
August 2, 2013–NASAA congratulates Kara Stein and Michael Piwowar on their Senate confirmation to serve on the SEC.
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.