July 18, 2011 – NASAA President David Massey emphasizes the importance of preventing another crisis and restoring investor confidence during his opening statement at today’s meeting of the Financial Stability Oversight Council.
All: Current Headlines
July 12, 2011 – In testimony before the U.S. Senate Banking Committee, NASAA President David Massey today outlined the gains made in investor protection since the enactment of the Dodd-Frank Act nearly one year ago.
State Securities Regulators Announce Settlement with Raymond James in Auction Rate Securities Investigations
June 29, 2011 – NASAA today announced that a settlement in principle has been reached between Raymond James Financial Services, Inc. and state securities regulators to return approximately $300 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008.
June 27, 2011 – ETFs have grown increasingly popular with retail investors during the last decade, but state securities regulators note in a new investor advisory that certain ETFs may not be appropriate for long-term investors.
March 15, 2011 – NASAA has filed a brief in U.S. District Court Northern District of Texas Dallas Division urging the court to deny a request for a preliminary injunction to halt administrative proceedings brought by state regulators against Securities America Inc. and Securities America Financial Corporation and other defendants.
March 14, 2011 – Dodd-Frank implementation will take the spotlight at NASAA’s Public Policy Conference in Washington, D.C., later this month.
March 10, 2011 – State securities regulators throughout the United States are observing 100 years of protecting investors. The nation’s first state securities law went into effect on March 10, 1911 in Kansas.
February 22, 2011 – Sunday, Feb. 20 marked the start of America Saves Week, a seven-day campaign to encourage Americans to save for a secure retirement. NASAA urges investors to do their homework before they make any investment decisions.
February 1, 2011 – NASAA issued a statement following the Securities and Exchange Commission’s approval of FINRA’s proposal to allow investors filing arbitration claims to have the option of choosing an all-public panel of arbitrators.