2016 Headlines
April 14, 2016
NASAA Testimony Calls for Balanced Regulatory Approach to Capital Formation
April 14, 2016--“We have learned that efforts to spur successful capital formation must reflect a balanced regulatory approach that minimizes unnecessary costs and burdens on small businesses while maintaining robust investor protection,” Washington Securities Administrator and chair of NASAA’s Capital Formation Committee William Beatty testified during a hearing before the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises.
April 6, 2016
NASAA Statement on Department of Labor Fiduciary Rule
April 6, 2016--“We appreciate that by broadening the application of fiduciary duty, the Department of Labor’s rule raises the standard of care applicable to retirement investors."
March 30, 2016
NASAA Unveils Training Program to Combat Elder Financial Abuse
March 30, 2016--State Securities Regulators to Offer Training to BDs and IAs
February 1, 2016
NASAA Members Adopt Model Act to Protect Seniors and Vulnerable Adults
Feb. 1, 2016--Model Act Delivered to Jurisdictions to Pursue as Legislation or Regulation
January 8, 2016
NASAA Statement Regarding Patricia Struck
January 7, 2016--“For all that Patty was to NASAA as a leader, a colleague, and a mentor she was first and foremost a friend. Patty always had kind things to say in every situation and we are better for having known her. We miss her greatly.”
Washington, DC 20002
