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November 4, 2021

NASAA Report Finds that Many Broker-Dealer Firms Still Place Their Financial Interests Ahead of Their Customers Despite Implementation of Regulation Best Interest

The North American Securities Administrators Association (NASAA) today announced the results of a nationwide survey conducted by state securities regulators that provides the first comprehensive look at broker-dealer industry policies and practices following the implementation of Regulation Best Interest (Reg BI) by the Securities and Exchange Commission.
November 3, 2021

NASAA Extends Waiver of State-Registered Investment Adviser Firm System Fees

The North American Securities Administrators Association (NASAA) today announced the continued waiver of Investment Adviser Registration Depository (IARD) system fees in 2022 for state-registered investment adviser firms and the continuation of substantially reduced initial set-up and annual system fees paid by investment adviser representatives (IARs).
October 5, 2021

NASAA Seeks Public Comment on Proposed Model Rules to Combat Unpaid Arbitration Awards and Fines

The North American Securities Administrators Association (NASAA) announced that its Board of Directors has approved the release for public comment of proposed model rules regarding unpaid arbitration awards and regulatory fines.
September 29, 2021

NASAA Releases Annual Enforcement Report

The North American Securities Administrators Association (NASAA) today released its annual enforcement report, which shows increasing numbers of investigations and enforcement actions taken by state securities regulators involving digital assets, precious metals, social media, and self-directed individual retirement accounts to protect investors and maintain the integrity of the nation’s financial markets in 2020.
September 28, 2021

FINRA, NASAA and SEC OIEA Urge Investors to Establish a Trusted Contact to Increase Investor Protection

In a combined effort to provide additional protection for investors, FINRA and the North American Securities Administrators Association (NASAA) today announced a new campaign urging investors to provide their financial firms with a trusted contact.
September 23, 2021

North American Securities Administrators Association Announces 2021 Award Recipients

The North American Securities Administrators Association (NASAA) announced its 2021 NASAA award recipients during its Fall Annual Meeting in Chicago, September 19-21. Awardees were recognized for their outstanding contributions to investor protection and state securities regulation.
September 21, 2021

Maryland Securities Commissioner Melanie Senter Lubin Takes Helm as 104th President of North American Securities Administrators Association

Maryland Securities Commissioner Melanie Senter Lubin began her one-year term this afternoon as the 104th president of the North American Securities Administrators Association (NASAA), the oldest international organization devoted to investor protection and responsible capital formation, during the organization’s Fall Annual Meeting.
September 20, 2021

State Investment Adviser Examinations Sweeps Uncover Deficiencies in Policies To Protect Seniors And Vulnerable Persons

A series of 1,206 coordinated examinations of state-registered investment advisers by state securities examiners showed that nearly 59 percent of investment advisers did not have policies or procedures in place for addressing the financial exploitation of seniors or vulnerable persons, the North American Securities Administrators Association (NASAA) announced.
September 20, 2021

North American Securities Administrators Association Approves Statement on Diversity, Equity and Inclusion

The North American Securities Administrators Association (NASAA), the organization of U.S. state securities regulators, securities regulators in Washington, D.C., Puerto Rico, the U.S. Virgin Islands and securities regulators in Canada and Mexico announced that its members approved a Diversity, Equity and Inclusion (DEI) statement during its Fall Annual Meeting.
September 14, 2021

NASAA Releases Legislative Commentary to Protect Seniors and Vulnerable Adults from Financial Exploitation

The North American Securities Administrators Association (NASAA) today released an updated legislative commentary for the NASAA Model Act to Protect Vulnerable Adults from Financial Exploitation, which includes new findings and recommendations that states and stakeholders may consider as they advance efforts to protect senior and vulnerable adult investors from potential financial exploitation.