All: Current Headlines

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

Current Headlines, Newsroom Read more

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 […]

Current Headlines, Newsroom Read more

NASAA Statement on Investment Adviser Examination Improvement Act of 2013

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

Current Headlines, Newsroom Read more

NASAA Public Policy Conference to Explore New Frontiers of Investor Protection

April 3, 2013–Speakers include Rep. Jim Himes, SEC Chair Elisse Walter and Political Observer James Thurber

Current Headlines, Newsroom Read more

NASAA Issues Investor Advisory on Private Placement Offerings

April 2, 2013–In advance of a federal rule to allow advertising of high-risk and potentially fraudulent private placement offerings, NASAA has issued an advisory cautioning investors about the risks these offerings carry.

Current Headlines, Newsroom Read more

NASAA to Team With AARP on Webinar

Protect Your Finances: Tips to Avoid Financial Fraud Join AARP and NASAA for a free, online interactive discussion on Tuesday, April 23, 2013, at 2 p.m. as we answer your questions about ensuring the security of your nest egg. We’ll also highlight tips to help you hang on to your hard-earned money, including: Spotting common […]

Current Headlines, Newsroom Read more

NASAA President Delivers Keynote Address at SIFMA Conference

WASHINGTON, D.C. (March 19, 2013) – The lack of civil recovery options for harmed investors is weakening the confidence of investors in financial products and markets, the president of the North American Securities Administrators Association (NASAA) said in a keynote speech delivered today at the Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal […]

Current Headlines, Newsroom Read more

NASAA Outlines Legislative Agenda

March 5, 2013–Legislative agenda offers Congress a roadmap to promote sustained investor confidence in U.S. capital markets.

Current Headlines, Newsroom Read more

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 […]

Current Headlines, Newsroom Read more

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.

Current Headlines, Newsroom Read more