All: Current Headlines

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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NASAA Launches Native American Investor Outreach Initiative

September 10, 2012 – NASAA launches a new investor outreach initiative to provide investor education resources to Native American and First Nation populations in the United States and Canada.

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Coordinated Examinations Identify Top BD Compliance Violations

September 9, 2012 – NASAA identifies the top compliance violations and offers a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures.

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Laws Provide Con Artists with Personal Economic Growth Plan

August 21, 2012 — NASAA releases its annual list of financial products and practices that threaten to trap unwary investors. New on the list: practices that attempt to exploit new and existing federal laws designed to promote job creation and stimulate economic recovery.

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NASAA Annual Conference to Focus on Innovation, Investor Protection and the Road to Economic Recovery

August 9, 2012 — NASAA Annual Conference set for Sept. 9-11 in Coronado, California.

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NASAA Statement on the Investment Adviser Examination Improvement Act Introduction

July 25, 2012) – NASAA issues statement supporting legislation that would enable the SEC to collect an annual fee from investment advisers subject to inspection or examination by the Commission to defray the cost of inspections and examinations.

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Webinar to Help Raise Awareness of Challenges and Opportunities of Self-Directed IRA Investing

July 9, 2012 – NASAA and the Retirement Industry Trust Association will conduct a free webinar to help raise public awareness of how to avoid fraud when considering investing in self-directed Individual Retirement Accounts.

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NASAA Reminds Mid-Sized Investment Advisers to Take Steps to Ensure Registrations are Active

June 28, 2012–NASAA reminds investment advisers eligible to switch from federal to state registration that have yet to switch to contact their state securities regulator to begin the process.

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NASAA Issues Small Business Advisory on Crowdfunding

Download: NASAA Small Business Advisory on Crowdfunding WASHINGTON, D.C. (June 27, 2012) – The North American Securities Administrators Association (NASAA) today issued an advisory to spotlight concerns for small businesses and entrprepreneurs seeking to raise investment capital through crowdfunding. The advisory is available here. Crowdfunding is an online money-raising strategy that began as a way […]

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