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October 31, 2023

NASAA Launches Exam Validity Extension Program for Investment Adviser Representatives

NASAA today announced the launch of the Investment Adviser Representative Exam Validity Extension Program (IAR EVEP).
October 27, 2023

NASAA Announces 2024 Fee Schedule for Investment Adviser Registration Depository System

NASAA today announced the continued waiver of Investment Adviser Registration Depository (IARD) system fees in 2024 for state-registered investment adviser firms, and no change to the initial set-up and annual system fees paid by investment adviser representatives.
October 25, 2023

NASAA Members, CFTC Reach Settlement with Safeguard Metals in $68m Fraud Targeting Elderly Adults

Thirty state regulators and the Commodity Futures Trading Commission (CFTC) announced a settlement with a precious metals dealer and its owner for operating a nationwide $68 million fraudulent scheme targeting elderly and retirement-aged persons. The settlement resolves the federal lawsuit filed in February 2022 in the U.S. District Court for the Central District of California against defendants Safeguard Metals LLC and Jeffrey Ikahn.
October 2, 2023

NASAA Joins with Securities Regulators Around the World During World Investor Week

NASAA joined with the SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), and the Securities Investor Protection Corporation (SIPC), to recognize World Investor Week and highlight educational resources available to investors.
October 2, 2023

NASAA Investor Bulletin: Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor Week 2023

For World Investor Week 2023, NASAA and its partners offer three tips to increase your resilience as an investor.
September 25, 2023

NASAA Debuts New Resource for Qualification Exams

NASAA announced the release of newly created guides for candidates interested in taking the Series 63, Series 65, and Series 66 qualification examinations.
September 12, 2023

NASAA Installs New President and Board Officers at 2023 Fall Annual Meeting

NASAA announced the appointment of its new president, Claire McHenry, Deputy Director of the Nebraska Department of Banking and Finance Bureau of Securities, during the 2023 NASAA Fall Annual Meeting held September 10-12 in San Diego.
September 11, 2023

2023 State Investment Adviser Examination Sweep Identifies Compliance Deficiencies

A series of coordinated examinations of state-registered investment advisers by state securities examiners identified top firm policy and practice deficiencies, NASAA announced.
September 5, 2023

NASAA Publishes Regulation Best Interest Examination Initiative Update and Issues Proposed Revisions to Its Broker-Dealer Conduct Model Rule

NASAA today published a report on Phase II (B) of its Coordinated National Regulation Best Interest Examination Initiative. As explained in the report, firms have made progress updating their policies and procedures in light of the Securities and Exchange Commission’s (“SEC”) 2019 adoption of Regulation Best Interest (“Reg BI”) but more work remains to be done, particularly with respect to considerations of reasonably available alternatives and conflict mitigation. NASAA also published for public comment proposed revisions to NASAA’s model rule regarding Dishonest or Unethical Business Practices of Broker-Dealers and Agents which are intended to update the model rule in light of Reg BI and other developments in the securities industry. The comment period will run for 90 days.
August 30, 2023

NASAA Launches Exam Validity Extension Program

NASAA is pleased to announce the launch of the Exam Validity Extension Program (EVEP). The EVEP provides eligible individuals with the opportunity to extend the validity of their Series 63 examination for up to five years while not registered with a jurisdiction.

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