March 25, 2015–Beatty: “We continue to have concerns that the rule does not maintain the important investor protection role of state securities regulators and must look more closely at the final rule as we evaluate our options.”
All: Current Headlines
February 23, 2015–Agenda Highlights Policy Priorities for State Securities Regulators
February 12, 2015–NASAA Invites SEC to Examine How the Program Streamlines State Review of Small Business Capital Formation Offerings
February 4, 2015–In testimony today before the Senate Special Committee on Aging, Maine Securities Administrator Judith Shaw called financial exploitation one of the most serious issues facing seniors and outlined an innovative approach Maine is taking to tackle the problem.
January 28, 2015–With an ever-growing list of financial institutions targeted by organized cyber-attacks, NASAA today issued an advisory reminding investors of the importance of understanding how their personal information is being protected by financial firms.
December 15, 2014–EFD Offers Efficiency for Issuers and Improved Transparency for Investors
December 1, 2014–“While self-directed IRAs can be a safe way to invest retirement funds, investors should understand that third-party custodians have limited duties to investors,” said William Beatty, NASAA President and Washington Securities Director.
November 20, 2014–High-yield investment programs, or HYIPs, are Ponzi schemes sold by unlicensed individuals.
November 12, 2014–“Many of the top threats facing investors involve new products in classic schemes,” said William Beatty, NASAA President and Washington Securities Director. “Regulators are seeing classic threats to investors morph into new or altered dangers, many fueled by the Internet. Overarching all of these threats are unlicensed agents selling unregistered products to unsuspecting investors.”