Newsroom
September 20, 2022
NASAA Releases Annual Enforcement Report
NASAA today released its annual Enforcement Report, highlighting investigations and enforcement actions taken by state securities regulators to protect investors and maintain the integrity of the nation’s financial markets.
September 20, 2022
New North American Securities Administrators Association President Discusses Priorities for the Year, Announces Board of Directors
Andrew Hartnett, Deputy Administrator for Securities, Iowa Insurance Division, today began his one-year term as president of the North American Securities Administrators Association (NASAA), the oldest international organization devoted to investor protection and responsible capital formation.
September 20, 2022
NASAA Members Adopt Two Statements of Policy Regarding Peer-to-Peer Lending Offerings and Franchise Questionnaires and Acknowledgements
NASAA announced that its membership has voted to adopt two statements of policy during NASAA’s 2022 Fall Annual Meeting in Nashville.
September 19, 2022
NASAA Members Adopt Exam Validity Extensions Model Rules
NASAA today issued an Informed Investor Advisory cautioning investors to protect themselves from investment scams and frauds offered in the unregulated metaverse, the online virtual “world” that provides users with immersive experiences through virtual or augmented reality technologies.
August 23, 2022
NASAA Hosts State and Provincial Securities Regulators at the 2022 Fall Annual Meeting in Nashville
Securities regulators, financial industry leaders, and investor advocates across North America will convene in Nashville, Tennessee, September 18-20 for NASAA's 2022 Fall Annual Meeting.
August 9, 2022
NASAA Cautions Investors On The Rise Of The “Finfluencer”
NASAA's latest Informed Investor Advisory recommends investors use caution when considering advice from social media financial influencers, or “finfluencers.”
August 4, 2022
NASAA Extends Comment Period on Proposed Revisions to Statement of Policy Regarding Real Estate Investment Trusts
NASAA’s Corporation Finance Section Committee has granted a 30-day extension to the public comment period for the Notice Requesting Public Comment on Proposed Revisions to NASAA Statement of Policy Regarding Real Estate Investment Trusts. The public comment deadline for all commenters is now Monday, September 12, 2022.
July 28, 2022
NASAA President to Testify Before U.S. Senate Committee on Banking, Housing, and Urban Affairs
NASAA President and Maryland Securities Commissioner Melanie Senter Lubin will testify during a hearing to be held at 10:00 a.m. ET on July 28. 2022 by the U.S. Senate Committee on Banking, Housing, and Urban Affairs to discuss scams and risks to investors in the crypto and securities markets.
July 25, 2022
NASAA Panel to Participate in National Whistleblower Day Event
A group of state securities regulators representing NASAA will participate in a live, virtual conference hosted by the National Whistleblower Center on Thursday, July 28, 2022 at 3:30 p.m. ET to commemorate National Whistleblower Day.
July 12, 2022
