All: Current Headlines

State Securities Regulators to Outline Legislative Priorities for the 113th Congress

Media Advisory: NASAA News Conference The North American Securities Administrators Association (NASAA) will release its 2013 Legislative Agenda, outlining specific legislation it will seek in the 113th Congress to enable policymakers to promote investor confidence in U.S. capital markets by striking the most reasonable balance between advancing capital formation and protecting investors. With a history […]

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NASAA Statement on Nomination of Mary Jo White as SEC Chair

January 24, 2013–White’s successful enforcement background should send a strong message to those who violate our nation’s securities laws that they will be stopped and punished.

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NASAA Sees Sharp Spike in Crowdfunding Presence on the Internet

December 5, 2012–Crowdfunding’s presence on the Internet has risen sharply in recent months in anticipation of rules to allow small businesses and entrepreneurs to raise investments online.

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NASAA Statement on SEC Leadership Change

WASHINGTON (November 28, 2012) — The following is a statement from Heath Abshure, president of the North American Securities Administrators Association and Arkansas Securities Commissioner, regarding the upcoming leadership change at the U.S. Securities and Exchange Commission. Earlier this week, President Obama designated SEC Commissioner Elisse Walter as chairman of the SEC effective December 14, […]

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Massey Reappointed to Two-Year Term Representing NASAA on FSOC

November 6, 2012–Former NASAA President David Massey reappointed to two-year term on Financial Stability Oversight Council.

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NASAA Warns Investors to Watch for Sandy Scams

October 31, 2012–Following the widespread destruction caused by Hurricane Sandy along the Eastern seaboard, NASAA warns investors to beware of opportunistic investment “Sandy scams.”

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Enforcement Report Details Investor Protection Role of State Securities Regulators

October 23, 2012 – NASAA releases results of annual enforcement survey. NASAA President Heath Abshure says the report “demonstrates that investors continue to rely upon state securities regulators.”

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Investor Advocates and State Securities Regulators Call on SEC to Rethink JOBS Act Rule

October 9, 2012 – In a news teleconference, Arkansas Securities Commissioner and NASAA President Heath Abshure and representatives of the AARP, AFL-CIO and Consumer Federation of America sharply criticized the Securities and Exchange Commission’s first JOBS Act rulemaking and called on the SEC to withdraw its proposal and craft a new rule that promotes capital formation without sacrificing investor protection.

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NASAA Announces IARD Fee System Waiver for Investment Adviser Firms

September 24, 2012 – NASAA announces the waiver of the Investment Adviser Registration Depository (IARD) system fees for investment adviser firms and the reinstatement of substantially reduced initial set-up and annual system fees paid by investment adviser representatives (IARs). Fees for IAs and IARs have been waived since 2008.

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A. Heath Abshure of Arkansas to Lead North American Securities Administrators Association

September 11, 2012 – Arkansas Securities Commissioner A. Heath Abshure begins a one-year term as NASAA president; delivers inaugural speech at annual conference.

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