The Spring edition of the NASAA Insight newsletter is available online. Among other topics, this edition spotlights NASAA’s: Legislative Agenda Public Policy Conference, and Broker-Dealer Fee Survey The newsletter is available online here. Print | PDF | Email
April 9, 2015–NASAA announces final lineup of speakers and panelists for its upcoming Public Policy Conference, scheduled for April 14 in Washington, DC.
April 8, 2015–Poll finds most investors don’t know the cost to service and maintain their brokerage accounts.
March 27, 2015–SEC Investor Advocate Rick Fleming to Delivery Keynote Address
February 23, 2015–Agenda Highlights Policy Priorities for State Securities Regulators
February 12, 2015–NASAA Invites SEC to Examine How the Program Streamlines State Review of Small Business Capital Formation Offerings
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.