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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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Working Group Develops Model Fee Disclosure Schedule

September 28, 2015–New Voluntary Guidelines to Help Investors Understand and Compare Miscellaneous Broker-Dealer Fees

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State Securities Regulators Announce Settlement with LPL Financial LLC Involving Non-Traded REIT Investigation

September 23, 2015–Under the terms of the settlement, Boston-based LPL agreed to remediate losses for all non-traded REITS sold by the firm from January 1, 2008 through December 31, 2013 in violation of prospectus standards, state concentration limits or LPL’s own guidelines.

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NASAA Releases Annual Enforcement Report

September 22, 2015–Report Indicates Seniors Remain a Top Target for Cons

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NASAA Annual Conference to Explore Regulation For the Ages

August 31, 2015–Investor Champion and former SEC Chair Arthur Levitt to Deliver Keynote Address

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