All: Current Headlines

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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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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