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NASAA Statement on SEC Investor Advisory Committee’s Support for Fiduciary Duty for Broker-Dealers

November 22, 2013–State securities regulators strongly support the recommendations of the SEC’s Investor Advisory Committee to extend a fiduciary duty to broker-dealers when they provide personalized investment advice to retail investors, and to call for legislation to fund investment adviser examinations. NASAA encourages the SEC and Congress to take swift action on each of these important recommendations.

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President’s Message

  A Message from NASAA President Andrea Seidt Using Smart Regulation to Meet Main Street Needs   Under my presidency, NASAA is embarking upon a campaign for “smarter regulation” – regulation that takes advantage of technology to make the offering process more efficient for small businesses without sacrificing important protections for investors. A first step […]

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NASAA Insight, Current Edition

            Inside the Spring 2014 edition of the NASAA Insight newsletter: NASAA to SEC: Revise Reg A Proposal States Approve Streamlined Review Program NASAA Launches Initiative to Help CPAs Identify Investment Fraud NASAA Offers Statement at Senate Arbitration Hearing Executive Summary of NASAA’s March 24 Comment Letter on SEC’s Regulation […]

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States Report Increased Withdrawals of Licenses of Unscrupulous Brokers, Investment Advisers

October 31, 2013–NASAA Enforcement Report Details Investor Protection Role of State Securities Regulators

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NASAA Outlines Plan for Streamlined State Review of JOBS Act-related Multi-State Offerings

October 30, 2013–New system would ease regulatory compliance costs on small companies attempting to raise capital under a provision of the Jumpstart Our Business Startups (JOBS) Act.

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NASAA Encourages Congress to take ‘Balanced Approach’ to Capital Formation Proposals to Restore Investor Confidence

October 23, 2013–NASAA: “What we need is smarter regulation, not merely deregulation.”

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NASAA Announces IARD System Fee Waiver for Investment Adviser Firms

October 23, 2013–Reduced System Fees Continued for Investment Adviser Representatives

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NASAA Expands Annual Top Investor Threat List

October 15, 2013–JOBS Act implementation prompts additions of threats to small business owners.

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Ohio Securities Commissioner Andrea Seidt to Lead NASAA

October 8, 2013–Seidt Says NASAA Agenda to Continue Focus on “Smarter Regulation” Balancing Investor Protection and Capital Formation

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