All: Newsroom

NASAA Waives IARD System Fee For Investment Adviser Firms

October 24, 2016–Initial and Renewal Fees for individual IA Representatives to Continue at Reduced Level for 2017

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NASAA Members Participate in Senior$afe Training Week

October 13, 2016–Nationwide Training Sessions Conducted by State Securities Regulators Aimed at Helping Investment Services Professionals Identify and Report Senior Financial Exploitation

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NASAA Statement on Bipartisan Congressional Effort Encouraging the SEC to Finalize Rulemaking Related to Intrastate Crowdfunding

October 7, 2016–“NASAA has strongly supported the SEC’s efforts to modernize Rules 147 and 504, and we are encouraged to see members of Congress, led by Rep. Tom Emmer (R-MN) and Rep. Gwen Moore (D-WI), weigh in to support the SEC’s important proposed actions. These key changes will benefit small and local businesses conducting intrastate crowdfunding and regional securities offerings to raise capital, while maintaining important investor protections.”

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NASAA Releases Annual Enforcement Report

September 13, 2016–For first time, report shows more actions brought against registered securities industry members than non-registered individuals.

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Minnesota’s Mike Rothman Begins Term as NASAA President

September 13, 2016–Minnesota Commissioner of Commerce Mike Rothman today began a one-year term after having been elected president of NASAA.

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2016 Presidential Address: Minnesota Commissioner of Commerce Mike Rothman

September 13, 2016–NASAA President Mike Rothman’s inaugural address at NASAA’s 2016 Annual Conference in Providence, Rhode Island.

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NASAA Releases Guide to Practices and Procedures for Protecting Senior Investors and Vulnerable Adults from Financial Exploitation

September 12, 2016–New NASAA guide released to assist broker-dealer and investment adviser firms in developing practices and procedures to detect and address instances of diminished capacity in senior and other clients and suspected cases of senior financial exploitation.

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NASAA Coordinated Exams Focus on Broker-Dealer Policies and Procedures for Senior Investors

September 12, 2016–Preliminary findings of coordinated examinations of broker-dealer firms by state securities regulators show that while improvements have been made in how firms interact with their elderly clients, some firms lack formal written procedures on key areas related to senior investors.

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NASAA Adds Financial Services Module to Senior$afe Training Program

September 8, 2016–States also making plans for Senior$afe training week October 2-8, 2016.

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NASAA Annual Conference to Explore Diversity in Today’s Financial Marketplace

August 17. 2016–Conference to Feature SEC Chair Mary Jo White; Panels on Gender Diversity in the Workplace & Benefits and Challenges of Serving and Protecting Increasingly Diverse Investor Populations

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