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Maine’s Judith Shaw Elected NASAA President

September 29, 2015–“In this age of technology and electronic marketing, borders are virtually nonexistent. We will find ways to leverage our available resources and support one another in the interest of investor protection,” said NASAA President Judith Shaw.

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2015 Presidential Address: Maine Securities Administrator Judith Shaw

September 29, 2015–NASAA President Judith Shaw’s inaugural speech at NASAA’s 98th Annual Conference.

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NASAA Reports Common IA Deficiencies

September 28, 2015— State Coordinated Investment Adviser Examinations Show Signs of Improved Compliance

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Working Group Develops Model Fee Disclosure Schedule

September 28, 2015–New Voluntary Guidelines to Help Investors Understand and Compare Miscellaneous Broker-Dealer Fees

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State Securities Regulators Announce Settlement with LPL Financial LLC Involving Non-Traded REIT Investigation

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.

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NASAA Releases Annual Enforcement Report

September 22, 2015–Report Indicates Seniors Remain a Top Target for Cons

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NASAA Annual Conference to Explore Regulation For the Ages

August 31, 2015–Investor Champion and former SEC Chair Arthur Levitt to Deliver Keynote Address

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NASAA’s Electronic Filing Depository Reaches Milestone

August 5, 2015–Streamlined Online Filing System Tops 10,000 Filings

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NASAA Supports World Elder Abuse Awareness Day

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.

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NASAA Names Joseph Brady as Executive Director

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.

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