All: Newsroom

NASAA Says Financial CHOICE Act Would Reverse Critical Investor Protections, Sending Regulatory Policies in “Wrong Direction”

April 26, 2016–Rothman: “It is clearly evident that the changes contemplated by the bill would significantly undermine and compromise the ability of regulators to effectively enforce financial laws and regulations.”

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NASAA Announces Second Senior$afe Training Week

April 25, 2107–Rothman: “NASAA’s Senior$afe training program is an essential resource for investment services providers who are uniquely positioned to help protect seniors and identify financial abuse.”

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NASAA Recognizes Financial Capability Month by Promoting Investor Education Outreach Programs

April 24, 2017–Rothman: “Financial capability is about educating and empowering all people of every age to take charge of their financial futures. Not only does it help people step up the ladder of economic opportunity and wealth, but also it helps to protect against predatory financial tricks and traps.”

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NASAA Announces Federal Legislative Priorities

Download: NASAA Legislative Priorities for the 115th Congress WASHINGTON, D.C., March 2, 2017 – The North American Securities Administrators Association (NASAA), which represents state and provincial securities regulators, today released its recommendations to Congress regarding ways to strengthen investor protection and facilitate healthy capital formation. “Our legislative priorities are designed to help members of the 115th […]

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State Securities Regulators Join America Saves Week to Build Awareness of Safe Financial Behavior

February 27, 2017–“As families across America discuss their saving and investing goals, they can turn to the resources provided by state securities regulators to learn about investing wisely in order to meet their financial goals,” said Mike Rothman, NASAA president and Minnesota Commissioner of Commerce. “Information and awareness are critical in the fight against losing hard-earned money to investment fraud.”

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Remarks of NASAA President Mike Rothman at the Signing of the Memorandum of Understanding Between NASAA and the SEC

Feburary 17, 2017–Delivered at SEC headquarters in Washington, D.C.

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NASAA, SEC Sign Info-Sharing Agreement For Crowdfunding and Other Offerings

February 17, 2017–NASAA President Rothman: “This agreement will strengthen collaboration among state and federal securities regulators to help expand small-business investment opportunities while also protecting investors. Ongoing dialogue is essential to carry out our responsibilities going forward. With this MOU in place, we have an opportunity to share information that will bolster our efforts to support small business capital formation and prevent fraud.”

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NASAA Announces ‘Start Today and Retire Tomorrow’ (STaRT) Initiative

December 20, 2016–New Workplace Education Training Program to Help Workers Toward Retirement Security

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NASAA Statement on SEC Chair Mary Jo White

November 15, 2016–“During Chair White’s tenure, NASAA has had the honor and opportunity to work closely with her and the SEC staff on regulatory initiatives and important issues. On behalf of NASAA, we want to thank Chair White for her service, and we wish her the very best in her next endeavor. We also look forward to strengthening our collaboration with the SEC to protect Main Street investors.”

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NASAA Statement on SEC Adoption of Final Rule 147, 504 Amendments

October 26, 2016–Rules Will Help Facilitate Intrastate and Regional Securities Offerings

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