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Last Updated: February 8, 2008

NASAA Newsroom

02/08/08	SEC, NASAA and FINRA Announce New Steps to Help Protect Senior Investors
02/06/08	State Securities Regulators Say New Study Clearly Shows Investors View Securities Abitration as Biased and Unfair
01/30/08	NASAA Outlines Pro-Investor Legislative Priorities
01/28/08	State Securities Regulators Remind Investors That Scams Often Hide Behind the Headlines
01/16/08	NASAA Responds to U.S. Supreme Court Decision in Stoneridge Case
12/13/07	NASAA Warns Investors to Watch for Holiday Investment Fraud
12/12/07	NASAA Urges Reforms to Securities Arbitration System
11/30/07	NASAA Comments on Treasury Department Financial Institution Regulatory Review

Legal

09/07/07	NASAA filed an amicus brief in support of the New York Attorney General’s opposition to a stockbroker’s petition to confirm an expungement recommendation issued by an arbitration panel.  (Gibson)
09/07/07	NASAA filed an amicus brief in support of the New York Attorney General’s opposition to a stockbroker’s petition to confirm an expungement recommendation issued by an arbitration panel. (O'Neill)
09/06/07	NASAA files brief in Richard W. Mack v. Utah Department of Commerce, Division of Securities, arguing (1) Mack’s request for injunctive relief should be dismissed for failure to exhaust his administrative remedies as required by the Administrative Procedures Act; and (2) res judicata does not preclude Utah from pursuing an administrative enforcement action against Mack’s license for his participation in a “ponzi” scheme and defrauding investors.

NASAA Comment Letters

11/30/07	NASAA Comment Letter Regarding Treasury Department Review of the Regulatory Structure Associated with Financial Institutions
09/24/07	NASAA Comment Revisions to Rule 144 and Rule 145 to Shorten Holding Period for Affiliates and Non-Affiliates For Resales of Restricted Securities

NASAA Testimony

12/13/07	Shopping Smart and Avoiding Scams: Financial Literacy During the Holiday Season
12/12/07	NASAA Testimony Regarding S. 1782, the Arbitration Fairness Act of 2007
09/12/07	Regulatory Preemption: Are Federal Agencies Usurping Congressional and State Authority?
09/05/07	“Advising Seniors About Their Money: Who Is Qualified - and Who Is Not?”