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Current Headlines

Topic
Year
April 25, 2022

NASAA, SEC to Jointly Host First Older Investor Roundtable Focused on Emerging Issues and Protection Challenges

The North American Securities Administrators Association (NASAA) and the Securities and Exchange Commission (SEC) will jointly host the first Older Investor Roundtable featuring AARP. The Thursday, April 28 event will be live cast at 10:00 a.m. (ET) to the public on sec.gov.
April 20, 2022

NASAA Annual Public Policy Symposium to Focus on Investor Protection in a Digital Age

This year’s symposium, themed “Investor Protection in a Digital Age,” will take place on May 17, 2022 in Washington, D.C. It will focus on in-depth conversations and panel discussions on policy issues related to ongoing innovation within the capital markets and the challenges those innovations may pose to investor protection.
April 13, 2022

NASAA Announces Speakers and Agenda for May 4 “NASAA’s Senior Issues and Diminished Capacity Committee Presents” Webcast

The North American Securities Administrators Association (NASAA) today announced the speakers and agenda for the next installation in the webcast series, “NASAA’s Senior Issues and Diminished Capacity Committee Presents.” The webcast is scheduled for May 4 at 2:30 p.m. ET to 3:45 p.m. ET and is open to the public.
March 31, 2022

NASAA Promotes Financial Literacy Month With Investor Education Resources

The North American Securities Administrators Association (NASAA) today highlighted educational resources available to investors in recognition of Financial Literacy Month, a time in April focused on promoting financial literacy and investor education.
March 23, 2022

NASAA Seeks Public Comment on Proposed Statement of Policy Regarding Peer-to-Peer Lending

The North American Securities Administrators Association (NASAA) is seeking public comment on a proposed Statement of Policy Regarding Peer-to-Peer Lending.
March 14, 2022

North American Securities Administrators Association Statement on Cyber Risk and Investment Threats Related to the Conflict in Ukraine

Melanie Senter Lubin, President of the North American Securities Administrators Association (NASAA) and Maryland Securities Commissioner, provides a statement related to the conflict in Ukraine.
March 8, 2022

Wisconsin Securities Regulator Leslie M. Van Buskirk Elected Vice Chair of SEC Investor Advisory Committee

Wisconsin Securities Regulator Elected Vice Chair of SEC Investor Advisory Committee
March 3, 2022

NASAA Highlights National Consumer Protection Week; Offers Education Resources to Help Protect Investors from Fraud

In support of National Consumer Protection Week, March 6-12, 2022, the North American Securities Administrators Association (NASAA) is highlighting investor education resources to help protect investors of all ages from financial fraud and abuse.
February 14, 2022

NASAA and SEC Announce $100 Million Settlement with BlockFi Lending, LLC

The North American Securities Administrators Association (NASAA) and the U.S. Securities and Exchange Commission (SEC) jointly announced a $100 million settlement with BlockFi Lending, LLC (BlockFi) concerning its lending products and practices. Thirty-two state securities regulators have agreed to the terms of a settlement with BlockFi to resolve its past unregistered activities. More jurisdictions are expected to follow.
February 8, 2022

Three States Adopt NASAA Model Rule Requiring Investment Adviser Representative Continuing Education in 2022

Maryland, Mississippi and Vermont have implemented continuing education requirements for investment adviser representatives in their jurisdictions in 2022. The requirements enacted by the three states are based on the NASAA Model Rule on Investment Adviser Representative Continuing Education, which was adopted by the NASAA membership in November 2020.