Current Headlines
June 13, 2025
NASAA Champions Community Resources for World Elder Abuse Awareness Day
In recognition of World Elder Abuse Awareness Day on June 15, the North American Securities Administrators Association (NASAA) reminds financial professionals and the public that they play an important role in helping older investors identify and avoid financial scams. As financial scams targeting older adults continue to rise, NASAA underscores the critical role of community vigilance and education.
June 9, 2025
NASAA Announces Multimillion Settlement with Five Firms
NASAA has announced a multimillion-dollar settlement resulting from an investigation conducted by state securities regulators into the practice of charging unreasonable commissions to retail customers on small dollar transactions by Edward Jones, LPL Financial, RBC, Stifel and TD Ameritrade. In the five-year period covered by the investigation, data shows that, nationwide, the firms charged approximately $19 million to process 1.12 million small dollar equity transactions and trades.
June 2, 2025
NASAA Announces Launch of Investor Protection and Education Foundation and Seeks Nominations for Inaugural Board Members
NASAA today announced the launch of the NASAA Investor Protection and Education Foundation, which is now accepting nominations for its inaugural Board of Directors. The formation of the Foundation was made possible through grants awarded by the Investor Protection Trust.
May 30, 2025
NASAA Urges Congress to Work with States to Foster Innovation and Mitigate Fraud
State securities regulators urge Congress to make important changes to the Digital Asset Market Clarity Act (CLARITY Act) to protect investors and promote responsible innovation.
April 10, 2025
NASAA Statement on Confirmation of Paul Atkins as SEC Chairman
The following is a statement from Leslie Van Buskirk, President of the North American Securities Administrators Association (NASAA), on the confirmation of Paul Atkins to serve as Chairman of the U.S. Securities and Exchange Commission.
April 7, 2025
NASAA Members Approve Amendments for Model Rule
NASAA announced today that members have voted to adopt proposed amendments to NASAA’s Dishonest or Unethical Business Practices of Broker-Dealers and Agents model rule (Conduct Rule).
March 25, 2025
NASAA Requests Public Comment on Proposed Amendments to REIT Guidelines
NASAA is requesting public comment on proposed amendments to its Statement of Policy Regarding Real Estate Investment Trusts (REIT Guidelines). Comments are due on or before May 28, 2025.
March 25, 2025
NASAA Urges Congress to Prioritize Capital Formation Policies That Protect Investors
NASAA today announced that Amanda Senn, Director of the Alabama Securities Commission and NASAA Enforcement Section Co-Chair, will testify before the U.S. House Financial Services Committee on Tuesday, March 25, 2025.
March 17, 2025
NASAA Announces 2025 Public Policy Symposium
Registration is now open for the 2025 NASAA Public Policy Symposium. This event will bring together industry experts, policymakers, and thought leaders to discuss the most pressing issues in securities regulation. This year’s theme of “Protecting Investors in Tokenized Securities Markets” promises to spur interesting discussions on this timely topic. The Symposium is scheduled for April 8, 2025, at the Mayflower Hotel in Washington, D.C.
March 6, 2025
