Current Headlines
April 6, 2023
State Securities Regulators Announce $10 Million Settlement with Robinhood for Failing Investors
NASAA today said Robinhood Financial LLC will pay up to $10.2 million in penalties for operational and technical failures that harmed main street investors.
March 21, 2023
NASAA Welcomes New Members To Its Seniors Advisory Committee
NASAA today announced that eight new members have joined the Advisory Committee to the NASAA Senior Issues Committee.
March 8, 2023
NASAA Announces Passing Scores Associated with New Exam Test Specifications
NASAA announced today a planned change to the passing score for its Series 65 examination and updates to the content for the Series 63, Series 65, and Series 66 examinations.
January 19, 2023
NASAA and SEC Announce $45 Million Settlement with Nexo Capital Over Interest-Bearing Accounts
NASAA and the U.S. Securities Exchange Commission (SEC) today jointly announced that a settlement in principle has been reached with Nexo Capital, Inc. (Nexo).
January 19, 2023
Fred Baldassaro Named NASAA Director of Communications
NASAA today announced that Fred Baldassaro has been named the director of communications. In this role, Baldassaro will develop, manage, and lead the internal and external communications functions of the organization.
January 6, 2023
NASAA Releases Federal Policy Agenda for the 118th Congress
NASAA today released its federal policy agenda for the 118th Congress, advocating for policy solutions that protect investors of all ages and backgrounds, promote responsible capital formation, and support inclusion and innovation in U.S. capital markets. NASAA will provide an overview of the agenda in a webinar on Thursday, January 12, 2023, at 1:30 p.m. ET.
October 3, 2022
NASAA Announces Speakers and Agenda for November 3 “NASAA’S Senior Issues and Diminished Capacity Committee Presents” Webcast
NASAA today announced the speakers and agenda for NASAA’s next “Senior Issues and Diminished Capacity Committee Presents” webcast. The webcast, scheduled for November 3, from 2:30 – 4:00 p.m. ET, is complimentary and open to the public.
October 3, 2022
NASAA Bulletin: Investor Resilience – World Investor Week 2022
For World Investor Week 2022, NASAA and its partners offer five tips to increase your resilience as an investor.
September 28, 2022
NASAA 2023 Fee Announcement
NASAA today announced the continued waiver of Investment Adviser Registration Depository (IARD) system fees in 2023 for state-registered investment adviser firms, and the continuation of the initial set-up and annual system fees paid by investment adviser representatives.
September 21, 2022
