All: Current Headlines

NASAA Statement on SEC Investor Advisory Committee’s Support for Fiduciary Duty for Broker-Dealers

November 22, 2013–State securities regulators strongly support the recommendations of the SEC’s Investor Advisory Committee to extend a fiduciary duty to broker-dealers when they provide personalized investment advice to retail investors, and to call for legislation to fund investment adviser examinations. NASAA encourages the SEC and Congress to take swift action on each of these important recommendations.

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States Report Increased Withdrawals of Licenses of Unscrupulous Brokers, Investment Advisers

October 31, 2013–NASAA Enforcement Report Details Investor Protection Role of State Securities Regulators

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NASAA Outlines Plan for Streamlined State Review of JOBS Act-related Multi-State Offerings

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.

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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.”

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NASAA Announces IARD System Fee Waiver for Investment Adviser Firms

October 23, 2013–Reduced System Fees Continued for Investment Adviser Representatives

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NASAA Expands Annual Top Investor Threat List

October 15, 2013–JOBS Act implementation prompts additions of threats to small business owners.

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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

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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.

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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.

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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.

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