June 28, 2012–NASAA reminds investment advisers eligible to switch from federal to state registration that have yet to switch to contact their state securities regulator to begin the process.
Download: NASAA Small Business Advisory on Crowdfunding WASHINGTON, D.C. (June 27, 2012) – The North American Securities Administrators Association (NASAA) today issued an advisory to spotlight concerns for small businesses and entrprepreneurs seeking to raise investment capital through crowdfunding. The advisory is available here. Crowdfunding is an online money-raising strategy that began as a way [...]
The Voice of State & Provincial Securities Regulation Welcome to the NASAA Insight, the quarterly newsletter of the North American Securities Administrators Association, Inc. The NASAA Insight is designed to keep readers informed of recent NASAA activities. Download the Spring/Summer 2012 NASAA Insight Inside This Issue NASAA to Congress: [...]
WASHINGTON, D.C. (June 12, 2012) – The North American Securities Administrators Association (NASAA) announced today that veteran Iowa securities regulator Craig Goettsch was elected Vice Chair of the Securities and Exchange Commission’s (SEC) Investor Advisory Committee during the committee’s inaugural meeting. Goettsch is Securities Counsel and Director of Investor Education and Consumer Outreach for the [...]
H.R. 4624 WOULD ADD REDUNDANT, UNNECESSARY LAYERS OF REGULATION AND COST ON SMALL BUSINESSES Download testimony WASHINGTON (June 6, 2012) – Legislation to create a self-regulatory organization (SRO) for investment advisers would add redundant regulation and costs on thousands of small businesses in communities throughout the United States that could force many of these local [...]
WASHINGTON, D.C. (May 15, 2012) – The North American Securities Administrators Association (NASAA) today issued an advisory warning investors to approach crowdfunding investment opportunities with great caution. The advisory is on NASAA’s website here. Crowdfunding is an online money-raising strategy that began as a way for the public to donate small amounts of money, often [...]
April 25, 2012 – The nationalization of small and mid-sized investment adviser regulation would be a mistake that neither benefits investors nor promotes small business interests.
April 17, 2012 – NASAA will host its annual Public Policy Conference on May 7 at the Washington Court Hotel.
April 5, 2012 – Congress and the White House have sacrificed investor protection, the North American Securities Administrators Association (NASAA) said today.
April 4, 2012 – NASAA announced that a settlement in principle has been reached between Bankers Life and Casualty Company and state securities regulators concluding an investigation of unlicensed/unregistered brokerage activity by the insurance company.