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Topic
Year
June 16, 2022

NASAA Statement on Confirmations of Mark Uyeda and Jaime Lizárraga to Serve on the U.S. Securities and Exchange Commission

In recognition of World Elder Abuse Awareness Day, NASAA today released two new publications developed by NASAA’s Senior Issues and Diminished Capacity Committee that are aimed at raising awareness about the use of a power of attorney in managing one’s financial affairs.
June 15, 2022

NASAA Recognizes World Elder Abuse Awareness Day and Offers New Power of Attorney Resources

In recognition of World Elder Abuse Awareness Day, NASAA today released two new publications developed by NASAA’s Senior Issues and Diminished Capacity Committee that are aimed at raising awareness about the use of a power of attorney in managing one’s financial affairs.
May 20, 2022

NASAA Members Adopt Model Rule Addressing Unpaid Customer Arbitration Awards and Judgments

NASAA announced that its membership has voted to approve a model rule that addresses the failure of regulated firms and persons to pay final awards and judgments to customers as well as the failure to pay fines and other monetary penalties imposed by regulators.
May 18, 2022

North American Securities Administrators Association Announces 2022 Spring Award Recipients

NASAA announced award recipients during its Spring Meeting in Washington, D.C., May 14-17.
April 25, 2022

NASAA, SEC to Jointly Host First Older Investor Roundtable Focused on Emerging Issues and Protection Challenges

The North American Securities Administrators Association (NASAA) and the Securities and Exchange Commission (SEC) will jointly host the first Older Investor Roundtable featuring AARP. The Thursday, April 28 event will be live cast at 10:00 a.m. (ET) to the public on sec.gov.
April 20, 2022

NASAA Annual Public Policy Symposium to Focus on Investor Protection in a Digital Age

This year’s symposium, themed “Investor Protection in a Digital Age,” will take place on May 17, 2022 in Washington, D.C. It will focus on in-depth conversations and panel discussions on policy issues related to ongoing innovation within the capital markets and the challenges those innovations may pose to investor protection.
April 13, 2022

NASAA Announces Speakers and Agenda for May 4 “NASAA’s Senior Issues and Diminished Capacity Committee Presents” Webcast

The North American Securities Administrators Association (NASAA) today announced the speakers and agenda for the next installation in the webcast series, “NASAA’s Senior Issues and Diminished Capacity Committee Presents.” The webcast is scheduled for May 4 at 2:30 p.m. ET to 3:45 p.m. ET and is open to the public.
March 31, 2022

NASAA Promotes Financial Literacy Month With Investor Education Resources

The North American Securities Administrators Association (NASAA) today highlighted educational resources available to investors in recognition of Financial Literacy Month, a time in April focused on promoting financial literacy and investor education.
March 23, 2022

NASAA Seeks Public Comment on Proposed Statement of Policy Regarding Peer-to-Peer Lending

The North American Securities Administrators Association (NASAA) is seeking public comment on a proposed Statement of Policy Regarding Peer-to-Peer Lending.
March 14, 2022

North American Securities Administrators Association Statement on Cyber Risk and Investment Threats Related to the Conflict in Ukraine

Melanie Senter Lubin, President of the North American Securities Administrators Association (NASAA) and Maryland Securities Commissioner, provides a statement related to the conflict in Ukraine.