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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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.
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.
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.
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.
August 30, 2011 – NASAA announced that SEC Commissioner Elisse Walter will be the keynote speaker at its annual conference, which commemorates the 100-year anniversary of state securities law and explores the future of investor protection and securities regulation.
August 23, 2011 – NASAA releases its annual list of financial products and practices that threaten to trap unwary investors, many by taking advantage of investors troubled by lingering economic uncertainty and volatile stock markets.
August 4, 2011 – NASAA’s Annual Conference (September 11-13 in Kansas) will focus on the past, present and future of securities regulation.