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.
September 22, 2015–Report Indicates Seniors Remain a Top Target for Cons
August 31, 2015–Investor Champion and former SEC Chair Arthur Levitt to Deliver Keynote Address
August 5, 2015–Streamlined Online Filing System Tops 10,000 Filings
June 15, 2015–NASAA today recognized World Elder Abuse Awareness Day (WEAAD) by urging all to join in the fight against senior financial exploitation, the crime of the 21st century.
May 26, 2015–As Executive Director, Brady will work closely with NASAA leadership and members, industry and investor groups, other regulators and Capitol Hill lawmakers. He also will oversee NASAA’s day-to-day operations.
May 11, 2105–“NASAA appreciates that the Texas Supreme Court agrees with state securities regulators that the life settlement contacts and viaticals, at issue in Life Partners v. Arnold satisfy the definition of an investment contact under the Texas Securities Act, making them securities subject to the Texas Securities Act.”
The Spring edition of the NASAA Insight newsletter is available online. Among other topics, this edition spotlights NASAA’s: Legislative Agenda Public Policy Conference, and Broker-Dealer Fee Survey The newsletter is available online here. Print | PDF | Email
April 22, 2015–In recognition of Financial Literacy Month, (April 1-30) NASAA issues an advisory to help raise investor awareness about fees charged by broker-dealer firms for services and maintenance of investment accounts.
April 9, 2015–NASAA announces final lineup of speakers and panelists for its upcoming Public Policy Conference, scheduled for April 14 in Washington, DC.
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