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Current Headlines

Topic
Year
January 8, 2020

NASAA Introduces New Podcast Series “Real Life Regulators”

New podcast series to brings true crime stories straight from the investigative files of state and provincial securities regulators, the securities regulators closest to investors.
December 23, 2019

NASAA Announces Top Investor Threats for 2020

Based on investor complaints, ongoing investigations and current enforcement trends, the securities regulators identified promissory notes, Ponzi schemes, real estate investments, cryptocurrency-related investments and social media/Internet-based investment schemes as the top five areas of concern for 2020.
December 18, 2019

NASAA Statement on the SEC’s Proposed Rule Amendment Regarding the “Accredited Investor” Definition

A statement from Christopher W. Gerold, NASAA President and Chief of the New Jersey Bureau of Securities, regarding a rule amendment proposed by the U.S. Securities and Exchange Commission related to the “accredited investor” definition. This definition helps determine whether investors have the financial wherewithal and understanding to be sold high-risk and unregistered private securities offerings.
December 11, 2019

Broker-Dealer E&O Insurance Could Provide Relief for Investors with Unpaid Arbitration Awards

In a new report released today, NASAA encourages broker-dealers to use errors and omissions (E&O) insurance as a resource to help meet their potential obligations to pay arbitration awards to their customers.
November 13, 2019

NASAA Upgrades Exam Resource for State Securities Examiners

NASAA today announced the launch of a significantly enhanced NASAA Electronic Examinations Module (NEMO). This web-based software application is available for use by state securities examiners to conduct examinations of state-registered investment advisers and broker-dealers within their jurisdictions.
October 30, 2019

NASAA 2020 Fee Announcement

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 Announces Agenda for Fintech and Cybersecurity Symposium

NASAA today announced the agenda and speakers for its October 29, 2019 Fintech and Cybersecurity Symposium.
October 2, 2019

NASAA Offers Resources for Millennial Investors

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 urges Congress to Refrain From Further Expanding Private Securities Markets

“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

NASAA Releases Annual Enforcement Report

Gerold: "This report shows that NASAA members are on the frontlines of investor protection."