NASAA Statement on “Investment Adviser Oversight Act” Introduction
April 25, 2012 – The nationalization of small and mid-sized investment adviser regulation would be a mistake that neither benefits investors nor promotes small business interests.
All: Current Headlines
NASAA Public Policy Conference to Focus on Innovation, Investor Protection and Economic Growth
April 17, 2012 – NASAA will host its annual Public Policy Conference on May 7 at the Washington Court Hotel.
The JOBS Act Fails Investors and Entrepreneurs
April 5, 2012 – Congress and the White House have sacrificed investor protection, the North American Securities Administrators Association (NASAA) said today.
State Securities Regulators Announce Settlement with Bankers Life and Casualty Company
April 4, 2012 – NASAA announced that a settlement in principle has been reached between Bankers Life and Casualty Company and state securities regulators concluding an investigation of unlicensed/unregistered brokerage activity by the insurance company.
NASAA Offers New Resource to Help Investment Advisers Identify State Registration Requirements
March 28, 2012 – NASAA assists advisers in making the switch from SEC to state registration with new online IA registration resource.
NASAA: The JOBS Act an Investor Protection Disaster Waiting to Happen
March 22, 2012 – NASAA calls the JOBS Act a “fundamentally flawed product of a rush to legislate.”
NASAA Statement on Senate Approval of the JOBS Act
March 22, 2012 – NASAA President Jack E. Herstein issued a statement following the Senate vote on the “Jumpstart Our Business Startups (JOBS)” Act.
NASAA Statement on the Jumpstart Our Business Startups (JOBS) Act, H.R. 3606
March 8, 2012 – Jack E. Herstein, president of the North American Securities Administrators Association and Assistant Director of the Nebraska Banking & Finance Department, Bureau of Securities, issued a statement following today’s vote by the House of Representatives to approve the Jumpstart Our Business Startups (JOBS) Act, H.R. 3606.
NASAA Marks Military Saves Week by Taking Aim at Fraud Targeting Military Members
February 21, 2012 – NASAA encourages military members and their families to shore up their defenses against investment fraud during Military Saves Week.
NASAA Cautions Investors Not to Stumble When Interest Rates Fall Flat
February 1, 2012 – Following the Federal Reserve’s announcement that interest rates are expected to remain low until at least late 2014, NASAA today cautioned investors to beware of risky or outright fraudulent investments promising higher yield or returns.
