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IARD System Fee Waiver Announced for Investment Adviser Firms

November 3, 2015–NASAA Continues Reduced System Fees for Investment Adviser Representatives

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NASAA Statement Regarding Announced Retirement Plans of FINRA Chairman Richard Ketchum

October 30, 2015–“NASAA has enjoyed a good working relationship with Rick and wish him well. We look forward to working with him until his successor is in place.”

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NASAA Statement on SEC Crowdfunding Rule and Proposed Rule 147 and Rule 504 Amendments

October 30, 2015–“Any initiative to develop new or expand existing capital formation tools must include significant and meaningful investor protections.”

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NASAA Applauds Sens. Collins and McCaskill on the Introduction of their Bipartisan ‘Senior$afe Act of 2015’

October 29, 2015–NASAA President Judith Shaw: “On behalf of NASAA, I want to commend Senators Collins and McCaskill on their efforts to shine a light on the critical problem of senior financial exploitation.”

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Maryland Securities Commissioner Lubin To Represent NASAA on Financial Stability Oversight Council

October 22, 2015–NASAA announces the appointment of Maryland Securities Commissioner Melanie Senter Lubin to represent state securities regulators on the Financial Stability Oversight Council (FSOC).

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NASAA Names New General Counsel

October 13, 2015–A. Valerie Mirko Promoted to Top Legal Post

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NASAA Board Approves Release for Comment of Proposed Model Act to Protect Vulnerable Adults from Financial Exploitation

September 29, 2015–“Working together we can and will close the holes in our safety net of support and protection for vulnerable adult investors,” said Judith Shaw, NASAA President and Maine Securities Administrator.

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Maine’s Judith Shaw Elected NASAA President

September 29, 2015–“In this age of technology and electronic marketing, borders are virtually nonexistent. We will find ways to leverage our available resources and support one another in the interest of investor protection,” said NASAA President Judith Shaw.

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2015 Presidential Address: Maine Securities Administrator Judith Shaw

September 29, 2015–NASAA President Judith Shaw’s inaugural speech at NASAA’s 98th Annual Conference.

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NASAA Reports Common IA Deficiencies

September 28, 2015— State Coordinated Investment Adviser Examinations Show Signs of Improved Compliance

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