Core Principles for Regulatory Reform “Our system of financial services regulation must be improved to better protect our investors, our markets and our economy as a whole To serve all of these vital interests, Congress and the Administration, working together with federal and state regulators, as well as self-regulatory organizations, should take steps to ensure that our new approach is strong, comprehensive, collaborative and efficient.” ~ NASAA President Fred Joseph  News Release

Auction Rate Securities
State Securities Regulators Remind Auction Rate Securities Investors to Contact Firms About Buyback Offers Details/ ARS Information Center

IARD Fee Waiver
NASAA and the SEC announce IARD System Fee Waiver Details

Equity Indexed Annuities
NASAA Comments on SEC EIA Proposal. Details / Comment Letter

Senior Investor Protection
>> AARP, NASAA Team to Launch Free Lunch Monitor Program. Details

>> Growing Number of States Adopt Provisions Based on NASAA Model Rule on the Use of Senior Certifications and Professional Designations. Details