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 […]

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 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.

March 28, 2012 – NASAA assists advisers in making the switch from SEC to state registration with new online IA registration resource.