image showcase

Newsroom

Topic
Year
September 28, 2021

FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection

In a combined effort to provide additional protection for investors, FINRA and the North American Securities Administrators Association (NASAA) today announced a new campaign urging investors to provide their financial firms with a trusted contact.
September 23, 2021

North American Securities Administrators Association Announces 2021 Award Recipients

The North American Securities Administrators Association (NASAA) announced its 2021 NASAA award recipients during its Fall Annual Meeting in Chicago, September 19-21. Awardees were recognized for their outstanding contributions to investor protection and state securities regulation.
September 21, 2021

Maryland Securities Commissioner Melanie Senter Lubin Takes Helm as 104th President of North American Securities Administrators Association

Maryland Securities Commissioner Melanie Senter Lubin began her one-year term this afternoon as the 104th president of the North American Securities Administrators Association (NASAA), the oldest international organization devoted to investor protection and responsible capital formation, during the organization’s Fall Annual Meeting.
September 21, 2021

2021 NASAA Presidential Address: Melanie Senter Lubin, Maryland Securities Commissioner

September 21, 2021: President Melanie Senter Lubin's Inaugural Address at NASAA's 2021 Annual Meeting in Chicago, Illinois.
September 20, 2021

State Investment Adviser Examinations Sweeps Uncover Deficiencies in Policies To Protect Seniors And Vulnerable Persons

A series of 1,206 coordinated examinations of state-registered investment advisers by state securities examiners showed that nearly 59 percent of investment advisers did not have policies or procedures in place for addressing the financial exploitation of seniors or vulnerable persons, the North American Securities Administrators Association (NASAA) announced.
September 20, 2021

North American Securities Administrators Association Approves Statement on Diversity, Equity and Inclusion

The North American Securities Administrators Association (NASAA), the organization of U.S. state securities regulators, securities regulators in Washington, D.C., Puerto Rico, the U.S. Virgin Islands and securities regulators in Canada and Mexico announced that its members approved a Diversity, Equity and Inclusion (DEI) statement during its Fall Annual Meeting.
September 14, 2021

NASAA Releases Legislative Commentary to Protect Seniors and Vulnerable Adults from Financial Exploitation

The North American Securities Administrators Association (NASAA) today released an updated legislative commentary for the NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation, which includes new findings and recommendations that states and stakeholders may consider as they advance efforts to protect senior and vulnerable adult investors from potential financial exploitation.
September 8, 2021

NASAA Fall Annual Meeting to Examine Emerging Trends in Financial Regulation

Securities regulators, financial industry leaders and investor advocates throughout North America will convene in Chicago, Illinois, September 19-21 for the North American Securities Administrators Association’s (NASAA) 2021 Fall Annual Meeting.
August 12, 2021

North American Securities Administrators Association Announces Results of 2021-2022 Board Elections

Melanie Senter Lubin, Maryland’s Securities Commissioner, was elected to a 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.
July 29, 2021

NASAA Participates in National Whistleblower Day Event

The North American Securities Administrators Association (NASAA) will participate in the National Whistleblower Center’s celebration commemorating the valuable contributions of whistleblowers to the securities industry.




Skip to content