All: Current Headlines

State Securities Regulator Elected Vice Chair of SEC Investor Advisory Committee

WASHINGTON, D.C. (June 12, 2012) – The North American Securities Administrators Association (NASAA) announced today that veteran Iowa securities regulator Craig Goettsch was elected Vice Chair of the Securities and Exchange Commission’s (SEC) Investor Advisory Committee during the committee’s inaugural meeting. Goettsch is Securities Counsel and Director of Investor Education and Consumer Outreach for the […]

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NASAA: Proposed IA SRO Legislation a “Job Killer”

H.R. 4624 WOULD ADD REDUNDANT, UNNECESSARY LAYERS OF REGULATION AND COST ON SMALL BUSINESSES Download testimony WASHINGTON (June 6, 2012) – Legislation to create a self-regulatory organization (SRO) for investment advisers would add redundant regulation and costs on thousands of small businesses in communities throughout the United States that could force many of these local […]

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NASAA: Proposed IA SRO Legislation a "Job Killer"

H.R. 4624 WOULD ADD REDUNDANT, UNNECESSARY LAYERS OF REGULATION AND COST ON SMALL BUSINESSES Download testimony WASHINGTON (June 6, 2012) – Legislation to create a self-regulatory organization (SRO) for investment advisers would add redundant regulation and costs on thousands of small businesses in communities throughout the United States that could force many of these local […]

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NASAA Warns of Potential Dangers of Crowdfunding Investment Opportunities

WASHINGTON, D.C. (May 15, 2012) – The North American Securities Administrators Association (NASAA) today issued an advisory warning investors to approach crowdfunding investment opportunities with great caution. The advisory is on NASAA’s website here. Crowdfunding is an online money-raising strategy that began as a way for the public to donate small amounts of money, often […]

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NASAA Statement on "Investment Adviser Oversight Act" Introduction

April 25, 2012 – The nationalization of small and mid-sized investment adviser regulation would be a mistake that neither benefits investors nor promotes small business interests.

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NASAA Statement on “Investment Adviser Oversight Act” Introduction

April 25, 2012 – The nationalization of small and mid-sized investment adviser regulation would be a mistake that neither benefits investors nor promotes small business interests.

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NASAA Public Policy Conference to Focus on Innovation, Investor Protection and Economic Growth

April 17, 2012 – NASAA will host its annual Public Policy Conference on May 7 at the Washington Court Hotel.

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The JOBS Act Fails Investors and Entrepreneurs

April 5, 2012 – Congress and the White House have sacrificed investor protection, the North American Securities Administrators Association (NASAA) said today.

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State Securities Regulators Announce Settlement with Bankers Life and Casualty Company

April 4, 2012 – NASAA announced that a settlement in principle has been reached between Bankers Life and Casualty Company and state securities regulators concluding an investigation of unlicensed/unregistered brokerage activity by the insurance company.

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NASAA Offers New Resource to Help Investment Advisers Identify State Registration Requirements

March 28, 2012 – NASAA assists advisers in making the switch from SEC to state registration with new online IA registration resource.

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