All: Regulatory Activity

Washington proposes amendments to conform “accredited investor” to federal law

March 5, 2012

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Virginia proposal to adopt Model Rule on exemption of advisers to certain private funds

February 14, 2012

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Washington considers proposing to amend certain WAC sections to correct references to definitions in Securities Act of Washington

January 30, 2012   Print | PDF | Email

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State Securities Regulators Announce Hotline and Website for E*Trade ARS Investors

January 18, 2012 – NASAA announces that a toll-free hotline and website have been established to assist investors who purchased auction rate securities (ARS) through E*TRADE Securities LLC.

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Letter of Support for S. 1907, the PCAOB Enforcement Transparency Act of 2011

December 21, 2011 The Honorable Tim Johnson Chairman Senate Committee on Banking, Housing, & Urban Affairs 534 Dirksen Senate Office Building Washington, DC 20510  The Honorable Richard ShelbyRanking MemberSenate Committee on Banking,Housing, & Urban Affairs534 Dirksen Senate Office BuildingWashington, DC 20510 Dear Chairman Johnson and Ranking Member Shelby: On behalf of the North American Securities Administrators Association (NASAA) I amwriting […]

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NASAA Comment Letter to House of Representatives in Opposition of H.R. 2930

November 3, 2011 The Honorable John Boehner Speaker United States House of Representatives Washington, DC 20515 The Honorable Nancy Pelosi Minority Leader United States House of Representatives Washington, DC 25015   Dear Mr. Speaker and Madam Leader: I am writing on behalf of the North American Securities Administrators Association (NASAA) to express my opposition to […]

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State Securities Regulators Announce Settlement with E*TRADE in Auction Rate Securities Investigations

October 19, 2011 – NASAA today announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS) market since 2008.

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Rhode Island Issues Notice of Hearing and Proposed Franchise Rule

October 5, 2011 Print | PDF | Email

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Request for Public Comment: Cross Reference Sheets

The NASAA Board of Directors has authorized release for public comment the following amendments to add cross reference sheets in the NASAA Guidelines for the Registration of Asset-Backed Securities, the Registration of Equipment Programs, the Registration of Commodity Pool Programs, and the Registration of Oil and Gas Programs. Comments on the proposed amendments are invited. […]

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Legal Reports and Studies

Investigative Report on “Free Lunch” Seminars Report of the Task Force on the Future of Shared State and Federal Securities Regulation Functional Regulation in the 21st Century: What’s Reasonable for Investor Protection and for Agents Selling Variable Annuities? NASAA Day Trading Report & Analysis In 1999, NASAA issued an extensive report based on a seven-month […]

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