October 30, 2019 NASAA today announced the continued waiver of Investment Adviser Registration Depository (IARD) system fees for state-registered investment adviser firms. NASAA also announced $5 increases in the IARD system fee for state-registered investment adviser representatives and the Electronic Filing Depository (EFD) system use fee for Form D, Rule 506 filings, effective January 1, 2020.
October 4, 2019 NASAA today announced the agenda and speakers for its October 29, 2019 Fintech and Cybersecurity Symposium.
October 2, 2019 In recognition of World Investor Week (Sept. 30 - Oct. 6), the North American Securities Administrators Association (NASAA) today announced the availability of the Millennial Money Mission, a series of investor resources designed specifically for Millennials,
September 11, 2019 “NASAA is concerned that our current regulatory regime has gone too far in favoring private capital raising over public markets,” testified Michael Pieciak, immediate past president of NASAA and Vermont’s Commissioner of Financial Regulation.
September 10, 2019 Gerold: "This report shows that NASAA members are on the frontlines of investor protection."
September 10, 2019 New Jersey Securities Bureau Chief Christopher W. Gerold today began a one-year term after having been elected the 102st president of the North American Securities Administrators Association.
September 8, 2019 State securities regulators are concerned that deficiencies related to cybersecurity are rising among state-regulated investment advisers.
August 7, 2019 State and provincial securities regulators are seeing an uptick this year in solicitations in potential crypto-related frauds.
July 31, 2019 NASAA releases report on broker-dealer sales practices for non-traditional Exchange Traded Funds (ETFs), such as leveraged and inverse ETFs, which can present greater risks to investors than do traditional ETFs due to their complexity.
July 30, 2019 “Our new website is designed with the user in mind,” said Michael S. Pieciak, NASAA President and Vermont Commissioner of Financial Regulation. “The new website highlights the tremendous investor protection resources available from state and provincial securities regulators as well as the work of NASAA in advocating for the protection of Main Street investors and responsible capital formation.”