All: Current Headlines

NASAA Statement on Confirmation of Kara Stein and Michael Piwowar to SEC

August 2, 2013–NASAA congratulates Kara Stein and Michael Piwowar on their Senate confirmation to serve on the SEC.

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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.

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NASAA Statement on SEC Decision Allowing Private Placement Advertising

July 10, 2013–NASAA: “State securities regulators are disappointed that lifting the ban on general solicitation and advertising of highly speculative and sometimes fraudulent private placement offerings investments before approving safeguards needlessly puts investors in harm’s way.”

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Supreme Court Decision in American Express Case Underscores Need for Congress to Prohibit Forced Arbitration

June 25, 2013–NASAA: “It is now up to Congress to restore some vestige of consumer protection by prompt remedial legislation to restore the scales of justice to balance.”

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NASAA Cautions Investors to be Wary of Speculative Energy Investments

June 18, 2013–With energy demands and a desire for energy independence increasing globally, investments in traditional and alternative energy resources are being promoted more often and are becoming attractive to investors and con artists alike.

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Investor and Adviser Groups Voice Opposition to Weakened Fiduciary Standard

June 5, 2013-NASAA and others in a broad-based coalition call on SEC to establish a uniform fiduciary standard for broker-dealers and investment advisers that is at least as strong as the existing standard for investment advisers.

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NASAA Releases Final IA Switch Report

May 20, 2013–Report documents the largest coordinated event between state and federal securities regulators.

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NASAA Files Amicus Brief Supporting FINRA’s Efforts to Reverse Ruling that Allows Schwab to Deny Customer Rights

May 8, 2013–NASAA: Schwab Violated FINRA Rules by Expanding Arbitration Clause to Ban Customers From Participating in Class Actions

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It Pays to Understand the Different Roles of Financial Service Providers

Download:INVESTOR ADVISORY: Financial Service Providers WASHINGTON, D.C. (April 30, 2013) – In recognition of Financial Literacy Month, the North American Securities Administrators Association (NASAA) today reminded investors of the importance of understanding the distinctions between the various types of financial professionals. “Whether you are just starting a retirement fund or need additional help with growing […]

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NASAA Statement on Investment Adviser Examination Improvement Act of 2013

April 19, 2013–NASAA Supports Waters-Delaney Investment Adviser Examination Improvement Act of 2013

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