All: Newsroom

NASAA Supports FINRA’s Effort to Reduce Deletion of Customer Complaint Records

July 28, 2014–States Use Data to Screen Broker License Applications for Bad Actors

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NASAA’s Streamlined Multi-State Coordinated Review Program Now Accepting Applications for Regulation A Offerings

May 12, 2014–Program eases regulatory hurdles to benefit small businesses without sacrificing investor protection.

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NASAA Calls for Balanced, Sensible Policy Reforms Reflecting ‘Smarter Regulation’ That Does Not Scale Back Investor Protection as New Capital Formation Proposals Emerge

May 1, 2014–State securities regulators concerned about ‘overarching deregulatory nature’ of proposals.

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NASAA Issues Investor Advisory on Virtual Currency

April 29, 2014–“Unlike traditional currency, these alternatives typically are not backed by tangible assets, are not issued by a governmental authority and are subject to little or no regulation,” said Andrea Seidt, NASAA President and Ohio Securities Commissioner.

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NASAA Statement Regarding FINRA Decision on Schwab Effort to Curb Investor Rights in Class Actions

April 24, 2014–NASAA: “State securities regulators are pleased that today’s decision by FINRA’s Board of Governors recognizes the danger in Charles Schwab’s attempt to unilaterally change its customer account agreements to force its clients to waive their rights to participate in class-action lawsuits.”

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Survey Finds Inconsistent Broker-Dealer Fee Disclosure and Questionable Markups

April 24, 2014–NASAA seeks to help industry develop model fee disclosure to help investors compare costs for services.

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CSBS and NASAA Release Guidance on Virtual Currency

April 23, 2014–Model consumer guidance is designed to assist state regulatory agencies in providing consumers with information about virtual currency as well as what factors consumers should consider when transacting with or investing in virtual currencies.

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NASAA President Andrea Seidt’s Remarks at NASAA’s 2014 Public Policy Conference

April 8, 2014–NASAA President Andrea Seidt discusses the SEC’s Regulation A proposal and the states’ new multi-state coordinated review program for Regulation A offerings in her opening remarks at the NASAA 2014 Public Policy Conference.

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NASAA Renews Call on SEC to Revise Regulation A Rule Proposal

April 8, 2014–NASAA announces that nearly all U.S. NASAA members have officially signed a Memorandum of Understanding demonstrating their agreement to participate in NASAA’s new Coordinated Review Program for Regulation A Offerings.

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NASAA President Andrea Seidt’s Remarks at the 2014 SIFMA Compliance and Legal Society Annual Meeting

April 1, 2014-NASAA President Andrea Seidt: “Our markets function most effectively when industry and regulators work together to protect and serve investors.”

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