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NASAA President Heath Abshure’s Remarks on SEC General Solicitation Proposed Rule

October 9, 2012 remarks by NASAA President Heath Abshure during news conference on SEC’s proposed rule on general solicitation

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NASAA President Heath Abshure's Remarks on SEC General Solicitation Proposed Rule

October 9, 2012 remarks by NASAA President Heath Abshure during news conference on SEC’s proposed rule on general solicitation

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NASAA Insight, Fall 2012

 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 Fall 2012 NASAA Insight     Inside This Issue A. Heath Abshure of Arkansas Takes NASAA Helm NASAA Urges Caution […]

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NASAA Announces IARD Fee System Waiver for Investment Adviser Firms

September 24, 2012 – NASAA announces the waiver of the Investment Adviser Registration Depository (IARD) system fees for investment adviser firms and the reinstatement of substantially reduced initial set-up and annual system fees paid by investment adviser representatives (IARs). Fees for IAs and IARs have been waived since 2008.

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2012 NASAA Presidential Address: A. Heath Abshure, Arkansas Securities Commissioner

September 11, 2013–NASAA President Heath Abshure’s inaugural speech at the NASAA Annual Conference in Coronado, California.

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A. Heath Abshure of Arkansas to Lead North American Securities Administrators Association

September 11, 2012 – Arkansas Securities Commissioner A. Heath Abshure begins a one-year term as NASAA president; delivers inaugural speech at annual conference.

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NASAA Launches Native American Investor Outreach Initiative

September 10, 2012 – NASAA launches a new investor outreach initiative to provide investor education resources to Native American and First Nation populations in the United States and Canada.

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Coordinated Examinations Identify Top BD Compliance Violations

September 9, 2012 – NASAA identifies the top compliance violations and offers a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures.

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Laws Provide Con Artists with Personal Economic Growth Plan

August 21, 2012 — NASAA releases its annual list of financial products and practices that threaten to trap unwary investors. New on the list: practices that attempt to exploit new and existing federal laws designed to promote job creation and stimulate economic recovery.

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NASAA Annual Conference to Focus on Innovation, Investor Protection and the Road to Economic Recovery

August 9, 2012 — NASAA Annual Conference set for Sept. 9-11 in Coronado, California.

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