Newsroom
October 3, 2011
Coordinated State Exams Identify Top Investment Adviser Deficiencies
October 3, 2011 - As state securities regulators prepare to assume increased regulatory oversight of investment advisers managing under $100 million in assets, NASAA released an updated series of recommended best practices that investment advisers should consider to minimize the risk of regulatory violations.
September 21, 2011
Capital Formation Proposals Must Not Weaken Investor Protection
September 21, 2011 - Arkansas Securities Commissioner Heath Abshure outlined the unintended consequences investors could face from legislative efforts to loosen regulations on how new and small businesses raise money.
September 16, 2011
NASAA Announces Continuation of IARD System Fee Waiver
September 16, 2011 - NASAA will waive the initial set-up and annual system fees paid by investment adviser firms (IAs) and investment representatives (IARs) to maintain the Investment Adviser Registration Depository (IARD) system.
September 13, 2011
State Securities Regulators Outline Opposition to Investment Adviser SRO
September 13, 2011 - NASAA outlined its vigorous opposition to the creation of a self-regulatory organization for investment advisers in testimony before the House Subcommittee on Capital Markets and Government Sponsored Enterprises.
September 13, 2011
Jack Herstein of Nebraska to Lead NASAA
September 13, 2011 - Herstein begins a one-year term as president of the oldest international organization devoted to investor protection.
September 13, 2011
2011 Presidential Speech, Jack Herstein, Assistant Director, Nebraska Department of Banking and Finance
September 13, 2011 - NASAA Annual Conference, Wichita, Kansas
September 7, 2011
NASAA Cautions Investors About Social Networking Fraud
September 7, 2011 - NASAA cautioned investors to make sure they know who they are doing business with when considering investments pitched through “friends” on social networking sites.
August 30, 2011
SEC Commissioner Walter to Address NASAA Annual Conference
August 30, 2011 - NASAA announced that SEC Commissioner Elisse Walter will be the keynote speaker at its annual conference, which commemorates the 100-year anniversary of state securities law and explores the future of investor protection and securities regulation.
August 24, 2011
Con Artists Find Profit in Get-Rich Schemes Tied to Economic Uncertainty
August 23, 2011 - NASAA releases its annual list of financial products and practices that threaten to trap unwary investors, many by taking advantage of investors troubled by lingering economic uncertainty and volatile stock markets.
August 17, 2011
