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2010 Headlines

Topic
Year
December 13, 2010

NASAA Helps Investors Assess Risks of Peer-to-Peer Lending

December 13, 2010 – NASAA encourages investors to be mindful of the risks of online loan “matchmaking,” which is known as peer-to-peer lending, social lending, person-to-person lending or P2P.
October 20, 2010

NASAA Cautions Investors Mining for Golden Opportunities

October 20, 2010 - NASAA reminds investors to be cautious about jumping onto the gold bandwagon.
October 12, 2010

NASAA Identifies Top Broker-Dealer Compliance Deficiencies

October 12, 2010 - Based on coordinated examinations of broker-dealers throughout the United States, NASAA identified the top compliance deficiencies and offered a series of recommended best practices.
October 6, 2010

NASAA Announces Continuation of IARD System Fee Waiver

October 6, 2010 - NASAA announced it will waive the initial set-up and annual system fees paid by investment adviser firms and investment representatives to maintain the Investment Adviser Registration Depository (IARD) system.
September 28, 2010

NASAA Launches Online Resource Center to Help IA Firms Prepare to Switch to State Regulation

September 28, 2010 - NASAA launches an online resource to help investment adviser firms prepare to switch from federal to state regulation.
September 28, 2010

David Massey of North Carolina to Lead NASAA

September 28, 2010 - North Carolina Deputy Securities Administrator David S. Massey begins a one-year term as President of NASAA.
September 28, 2010

NASAA Statement on FINRA Arbitration Plan

September 28, 2010 - NASAA issues a statement following FINRA's announcement that it plans to file a rule proposal in October to allow investors filing arbitration claims to have the option of choosing an all-public panel of arbitrators.
September 23, 2010

State Regulators Announce Representatives for the Financial Stability Oversight Council

September 23, 2010 - The organizations representing the nation’s state financial regulators today announced their representatives to serve on the Financial Stability Oversight Council (FSOC).
September 16, 2010

Panelists Announced for NASAA Annual Conference

September 16, 2010 - NASAA announces the lineup of speakers and panels for its upcoming annual conference in Baltimore, Maryland.
September 15, 2010

NASAA Statement on New Survey Showing Near Unanimous Investor Support for Fiduciary Duty Standard of Care

September 15, 2010 - NASAA issues a statement following the release of a survey showing that investors nearly unanimously believe that when they receive investment advice from a financial professional, the person providing the advice should put investor interests ahead of their own.