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NASAA Offers Legislative Agenda for 114th Congress

February 23, 2015–Agenda Highlights Policy Priorities for State Securities Regulators

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NASAA’s Coordinated Review Program Setting New Service Standards

February 12, 2015–NASAA Invites SEC to Examine How the Program Streamlines State Review of Small Business Capital Formation Offerings

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Maine Securities Administrator Outlines Innovative Program to Combat Senior Financial Exploitation

February 4, 2015–In testimony today before the Senate Special Committee on Aging, Maine Securities Administrator Judith Shaw called financial exploitation one of the most serious issues facing seniors and outlined an innovative approach Maine is taking to tackle the problem.

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NASAA Reminds Investors to Discuss Cybersecurity With Their Financial Professionals

January 28, 2015–With an ever-growing list of financial institutions targeted by organized cyber-attacks, NASAA today issued an advisory reminding investors of the importance of understanding how their personal information is being protected by financial firms.

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NASAA Launches Streamlined Electronic Filing Depository

December 15, 2014–EFD Offers Efficiency for Issuers and Improved Transparency for Investors

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NASAA Issues Advisory on Third-Party Custodians of Self-Directed IRAs and Other Qualified Plans

December 1, 2014–“While self-directed IRAs can be a safe way to invest retirement funds, investors should understand that third-party custodians have limited duties to investors,” said William Beatty, NASAA President and Washington Securities Director.

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NASAA Urges Investors to Approach High-Yield Investment Programs With Caution

November 20, 2014–High-yield investment programs, or HYIPs, are Ponzi schemes sold by unlicensed individuals.

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New Products in Classic Schemes Identified as Top Investor Threats

November 12, 2014–“Many of the top threats facing investors involve new products in classic schemes,” said William Beatty, NASAA President and Washington Securities Director. “Regulators are seeing classic threats to investors morph into new or altered dangers, many fueled by the Internet. Overarching all of these threats are unlicensed agents selling unregistered products to unsuspecting investors.”

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States Report Rise in Enforcement Actions Against Licensed Broker Sales Agents

November 4, 2014–Enforcement Report Shows Unlicensed Individuals, Firms Continue as Greatest Source of State Enforcement Actions

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NASAA Cautions Investors to Guard Against Ebola-Related Scams

October 29, 2014–NASAA Task Force Monitoring Internet for Fraud Following Outbreak of Ebola-Related Website Names

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