All: Current Headlines

State Securities Regulators Announce Hotline and Website for E*Trade ARS Investors

January 18, 2012 – NASAA announces that a toll-free hotline and website have been established to assist investors who purchased auction rate securities (ARS) through E*TRADE Securities LLC.

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NASAA: States Best Positioned to Oversee Small Business Capital Formation

December 1, 2011 – NASAA today said states should be the primary regulator of small business capital formation, including crowdfunding offerings.

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State Securities Regulators Launch Coordinated Review Program for Investment Advisers

November 29, 2011 – NASAA has developed a coordinated review program for investment advisers switching from federal to state securities regulatory oversight as mandated by Dodd-Frank.

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NASAA Sends Cease-and-Desist Letter to Copycat Website

November 9, 2011 – NASAA announced today that it has demanded the operator of the “State Securities Commission” website cease operations after it was learned that the website appeared to have been designed to dupe investors.

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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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