November 4, 2014–Enforcement Report Shows Unlicensed Individuals, Firms Continue as Greatest Source of State Enforcement Actions
October 29, 2014–NASAA Task Force Monitoring Internet for Fraud Following Outbreak of Ebola-Related Website Names
September 16, 2014–An adaptation of remarks given at NASAA’s Annual Conference on September 16, 2014 by William Beatty, NASAA President and Washington Securities Director, and Andrea Seidt, NASAA Past President and Ohio Securities Commissioner.
Click here to download the Fall, 2014 edition What’s Inside: William Beatty Elected NASAA President NASAA Launches Initiative Focusing on Seniors President’s Message States See Increase in Prison Sentences for Securities Law Violators NASAA Working Toward Improved Fee Disclosure Survey Explores IA Cybersecurity Risk A Presidential Conversation Annual Conference Photo Gallery NASAA Recognizes Accomplishments of […]
October 20, 2014–NASAA Continues Reduced System Fees for Investment Adviser Representatives
October 8, 2014–“NASAA has consistently raised concerns about the mandatory predispute resolution process and the report issued by PIABA notes additional important issues related to arbitrator disclosure and transparency that merit further review. NASAA continues to support the Investor Choice Act, introduced by Rep. Keith Ellison (D-MN) and supported by 30 House members, which would provide investors an opportunity to seek resolution of their claims through the court system.”
September 29, 2014–Aggressive Enforcement By State Securities Regulators Brings Criminals to Justice
NASAA Appoints Advisory Council to Work With Regulators on Committee on Senior Issues and Diminished Capacity
September 16, 2014–“We look forward to working closely with an advisory council of experts from government, business, senior advocacy organizations, academia and medical and legal practitioners, as we move forward in this ever increasingly important area of investor protection and service,” said William Beatty, NASAA President and Washington Securities Director.
September 11, 2014–Follows NASAA Report Uncovering Wide Disparity of Broker-Dealer Fee Disclosure Practices