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Current Headlines

Topic
Year
June 15, 2021

NASAA, SEC and FINRA Offer Free Resource to Securities Firms to Assist in Detection, Prevention, and Reporting of Financial Exploitation of Seniors

In recognition of World Elder Abuse Awareness Day, the North American Securities Administrators Association (NASAA), the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced a new resource intended to assist securities firms in implementing the training requirements of the Senior Safe Act.
June 15, 2021

NASAA Recognizes World Elder Abuse Awareness Day

In recognition of World Elder Abuse Awareness Day on June 15, the NASAA reminds financial professionals and the public to be on the lookout for signs of elder financial abuse, including potential exploitation by guardians.
May 18, 2021

NASAA Members Approve Model Act to Create Restitution Assistance Funds for Victims of Securities Violations

NASAA today announced that its membership has voted to approve a model act for use by jurisdictions that are considering establishing restitution assistance funds for victims of securities violations.
May 11, 2021

New Handbook Available for Potential IAR CE Course Content Providers

NASAA today announced the availability of a handbook to help potential content providers prepare to meet the requirements for investment adviser representative continuing education (IAR CE) programs.
May 5, 2021

NASAA Names New Communications Director

NASAA announced today that Jeanne Hamrick has joined the organization as its Director of Communications. She will report to NASAA Executive Director Joseph Brady.
May 3, 2021

NASAA’s Electronic Filing Depository Expands to Franchise Filings

NASAA announced today that its Electronic Filing Depository (EFD) System will expand to accept franchise filings through its new Franchise Electronic Depository functionality (FRED). FRED will significantly increase the information and review tools available to filers and regulators.
April 21, 2021

NASAA Releases Annual Report on State-Registered Investment Advisers

The report highlights the important regulatory policy work, education and training, and coordination efforts of NASAA’s Investment Adviser Section Committee and its Project Groups.
April 15, 2021

NASAA Statement on Confirmation of Gary Gensler as SEC Chairman

March 8, 2021

NASAA’s Legislative Agenda Calls for Congress to Prioritize Investor Protection 

NASAA's legislative agenda for the 117th Congress advocates for policymaking designed to protect and empower retail investors and ensure the preeminence of our nation’s public securities and financial markets.
March 3, 2021

NASAA Announces Top Investor Threats for 2021

NASAA today reminded investors to be on the lookout for investment schemes pitched through the internet and social media, particularly those involving precious metals, cryptocurrencies, promissory notes and foreign exchange markets.