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September 8, 2019
State Investment Adviser Examinations Find Rising Cybersecurity Deficiencies
State securities regulators are concerned that deficiencies related to cybersecurity are rising among state-regulated investment advisers.
August 9, 2011
100 Years of Investor Protection
August 4, 2011 - NASAA's Annual Conference (September 11-13 in Kansas) will focus on the past, present and future of securities regulation.
August 9, 2011
Implementation of Dodd-Frank
June 15, 2011 NASAA raises concerns about H.R. 1070 and H.R. 1082.
August 9, 2011
Dodd-Frank Information Center
September 28, 2010 - “This legislation clearly is going to restructure relationships among regulators. We have an opportunity to strengthen these relationships and to engage in productive discussions about how our shared responsibilities can better protect investors.” - David S. Massey
August 9, 2011
IA Switch Resource Center
By signing the Dodd-Frank Wall Street Reform and Consumer Protection Act into law, President Obama set in motion a change for many mid-sized investment adviser firms.
July 12, 2011