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Topic
Year
September 28, 2022

NASAA 2023 Fee Announcement

NASAA today announced the continued waiver of Investment Adviser Registration Depository (IARD) system fees in 2023 for state-registered investment adviser firms, and the continuation of the initial set-up and annual system fees paid by investment adviser representatives.
September 21, 2022

North American Securities Administrators Association Announces 2022 Fall Award Recipients

NASAA announced 2022 award recipients during its Fall Annual Meeting held in Nashville, September 18-20. Awardees were recognized for their outstanding contributions to investor protection and state securities regulation.
September 20, 2022

NASAA Releases Annual Enforcement Report

Andrew Hartnett, Deputy Administrator for Securities, Iowa Insurance Division, today began his one-year term as president of the North American Securities Administrators Association (NASAA), the oldest international organization devoted to investor protection and responsible capital formation.
September 20, 2022

New North American Securities Administrators Association President Discusses Priorities for the Year, Announces Board of Directors

Andrew Hartnett, Deputy Administrator for Securities, Iowa Insurance Division, today began his one-year term as president of the North American Securities Administrators Association (NASAA), the oldest international organization devoted to investor protection and responsible capital formation.
September 20, 2022

NASAA Members Adopt Two Statements of Policy Regarding Peer-to-Peer Lending Offerings and Franchise Questionnaires and Acknowledgements

NASAA announced that its membership has voted to adopt two statements of policy during NASAA’s 2022 Fall Annual Meeting in Nashville.
September 19, 2022

NASAA Members Adopt Exam Validity Extensions Model Rules

NASAA today issued an Informed Investor Advisory cautioning investors to protect themselves from investment scams and frauds offered in the unregulated metaverse, the online virtual “world” that provides users with immersive experiences through virtual or augmented reality technologies.
August 23, 2022

NASAA Hosts State and Provincial Securities Regulators at the 2022 Fall Annual Meeting in Nashville

Securities regulators, financial industry leaders, and investor advocates across North America will convene in Nashville, Tennessee, September 18-20 for NASAA's 2022 Fall Annual Meeting.
August 9, 2022

NASAA Cautions Investors On The Rise Of The “Finfluencer”

NASAA's latest Informed Investor Advisory recommends investors use caution when considering advice from social media financial influencers, or “finfluencers.”
August 4, 2022

NASAA Extends Comment Period on Proposed Revisions to Statement of Policy Regarding Real Estate Investment Trusts

NASAA’s Corporation Finance Section Committee has granted a 30-day extension to the public comment period for the Notice Requesting Public Comment on Proposed Revisions to NASAA Statement of Policy Regarding Real Estate Investment Trusts. The public comment deadline for all commenters is now Monday, September 12, 2022.
July 28, 2022

NASAA President to Testify Before U.S. Senate Committee on Banking, Housing, and Urban Affairs

NASAA President and Maryland Securities Commissioner Melanie Senter Lubin will testify during a hearing to be held at 10:00 a.m. ET on July 28. 2022 by the U.S. Senate Committee on Banking, Housing, and Urban Affairs to discuss scams and risks to investors in the crypto and securities markets.