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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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NASAA Statement on the Investment Adviser Examination Improvement Act Introduction

July 25, 2012) – NASAA issues statement supporting legislation that would enable the SEC to collect an annual fee from investment advisers subject to inspection or examination by the Commission to defray the cost of inspections and examinations.

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Webinar to Help Raise Awareness of Challenges and Opportunities of Self-Directed IRA Investing

July 9, 2012 – NASAA and the Retirement Industry Trust Association will conduct a free webinar to help raise public awareness of how to avoid fraud when considering investing in self-directed Individual Retirement Accounts.

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NASAA Reminds Mid-Sized Investment Advisers to Take Steps to Ensure Registrations are Active

June 28, 2012–NASAA reminds investment advisers eligible to switch from federal to state registration that have yet to switch to contact their state securities regulator to begin the process.

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NASAA Issues Small Business Advisory on Crowdfunding

Download: NASAA Small Business Advisory on Crowdfunding WASHINGTON, D.C. (June 27, 2012) – The North American Securities Administrators Association (NASAA) today issued an advisory to spotlight concerns for small businesses and entrprepreneurs seeking to raise investment capital through crowdfunding. The advisory is available here. Crowdfunding is an online money-raising strategy that began as a way […]

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NASAA Insight, Spring/Summer 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 Spring/Summer 2012 NASAA Insight                   Inside This Issue NASAA to Congress: […]

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State Securities Regulator Elected Vice Chair of SEC Investor Advisory Committee

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 […]

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NASAA: Proposed IA SRO Legislation a “Job Killer”

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 […]

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