April 20, 2016–May 16 Conference to Focus on Enforcement and Deterrence in Today’s Financial Markets
April 18, 2016–“State securities regulators can help sharpen your financial literacy skills,” said Judith Shaw, NASAA President and Maine Securities Administrator. “An important aspect of becoming financially literate is not only learning how to invest wisely, but also how to avoid investment fraud.”
April 14, 2016–“We have learned that efforts to spur successful capital formation must reflect a balanced regulatory approach that minimizes unnecessary costs and burdens on small businesses while maintaining robust investor protection,” Washington Securities Administrator and chair of NASAA’s Capital Formation Committee William Beatty testified during a hearing before the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises.
April 6, 2016–“We appreciate that by broadening the application of fiduciary duty, the Department of Labor’s rule raises the standard of care applicable to retirement investors.”
March 30, 2016–State Securities Regulators to Offer Training to BDs and IAs
March 8, 2016–NASAA President Judith Shaw’ discusses NASAA’s senior investor protection initiatives at the Association of Registration Management 2016 Annual Educational Conference.
Feb. 1, 2016–Model Act Delivered to Jurisdictions to Pursue as Legislation or Regulation
January 7, 2016–“For all that Patty was to NASAA as a leader, a colleague, and a mentor she was first and foremost a friend. Patty always had kind things to say in every situation and we are better for having known her. We miss her greatly.”
December 17. 2015–“We are pleased to provide a resource-rich online environment for senior investors and those best positioned to provide for their care, financial security and protection,” said Judith Shaw, NASAA President and Maine Securities Administrator.