October 22, 2015–NASAA announces the appointment of Maryland Securities Commissioner Melanie Senter Lubin to represent state securities regulators on the Financial Stability Oversight Council (FSOC).
NASAA Board Approves Release for Comment of Proposed Model Act to Protect Vulnerable Adults from Financial Exploitation
September 29, 2015–“Working together we can and will close the holes in our safety net of support and protection for vulnerable adult investors,” said Judith Shaw, NASAA President and Maine Securities Administrator.
September 29, 2015–“In this age of technology and electronic marketing, borders are virtually nonexistent. We will find ways to leverage our available resources and support one another in the interest of investor protection,” said NASAA President Judith Shaw.
September 29, 2015–NASAA President Judith Shaw’s inaugural speech at NASAA’s 98th Annual Conference.
September 28, 2015–New Voluntary Guidelines to Help Investors Understand and Compare Miscellaneous Broker-Dealer Fees
State Securities Regulators Announce Settlement with LPL Financial LLC Involving Non-Traded REIT Investigation
September 23, 2015–Under the terms of the settlement, Boston-based LPL agreed to remediate losses for all non-traded REITS sold by the firm from January 1, 2008 through December 31, 2013 in violation of prospectus standards, state concentration limits or LPL’s own guidelines.
August 31, 2015–Investor Champion and former SEC Chair Arthur Levitt to Deliver Keynote Address