All: Current Headlines

State Securities Regulators to Explore Steps to Help Small and New Businesses Raise Investment Capital

October 21, 2011 – NASAA today announced the formation of a committee to examine and propose steps that state securities regulators can take to help small and new businesses raise investment capital.

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State Securities Regulators Announce Settlement with E*TRADE in Auction Rate Securities Investigations

October 19, 2011 – NASAA today announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008.

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Report Spotlights Strong Investor Protection Record of State Securities Regulators

October 19, 2011 – NASAA today reported a 51 percent increase in the number of enforcement actions by state securities regulators in 2010, which led to a nearly 200 percent increase in the amount of money ordered returned to investors.

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NASAA Launches New Website

October 12, 2011 – NASAA’s newly redesigned website features improved navigation, a multimedia spotlight area and enhanced search functionality with a clean, modern look.

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Coordinated State Exams Identify Top Investment Adviser Deficiencies

October 3, 2011 – As state securities regulators prepare to assume increased regulatory oversight of investment advisers managing under $100 million in assets, NASAA released an updated series of recommended best practices that investment advisers should consider to minimize the risk of regulatory violations.

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Capital Formation Proposals Must Not Weaken Investor Protection

September 21, 2011 – Arkansas Securities Commissioner Heath Abshure outlined the unintended consequences investors could face from legislative efforts to loosen regulations on how new and small businesses raise money.

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NASAA Announces Continuation of IARD System Fee Waiver

September 16, 2011 – NASAA will waive the initial set-up and annual system fees paid by investment adviser firms (IAs) and investment representatives (IARs) to maintain the Investment Adviser Registration Depository (IARD) system.

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State Securities Regulators Outline Opposition to Investment Adviser SRO

September 13, 2011 – NASAA outlined its vigorous opposition to the creation of a self-regulatory organization for investment advisers in testimony before the House Subcommittee on Capital Markets and Government Sponsored Enterprises.

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Jack Herstein of Nebraska to Lead NASAA

September 13, 2011 – Herstein begins a one-year term as president of the oldest international organization devoted to investor protection.

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NASAA Cautions Investors About Social Networking Fraud

September 7, 2011 – NASAA cautioned investors to make sure they know who they are doing business with when considering investments pitched through “friends” on social networking sites.

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